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Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

Tag Archives: Securities Attorneys

17
Feb

Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

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Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

Have you lost money with financial advisor Floyd Powell from Albertville, Alabama?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Floyd E. Powell. FINRA barred Powell from the securities industry.  Powell was being investigated regarding allegations that he sold $3.5 million in investments in the Woodbridge Group of Companies. ...

08
May

WARNING! Impending Investigation – FIFTH THIRD SECURITIES

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WARNING!  Impending Investigation – FIFTH THIRD SECURITIES

Fifth Third Securities Ordered to Pay $6 Million for Supervisory Failures Related to Variable Annuities   Fifth Third Securities, a securities brokerage firm based out of Cincinnati, Ohio, was recently fined $4 million dollars and ordered to pay another $2 million in restitution for numerous supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that ...

19
Apr

INVESTOR ALERT! Walter Parker of Titan Securities (U.S.)

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INVESTOR ALERT!  Walter Parker of Titan Securities (U.S.)

Walter Parker from Rowlett, Texas Suspended From Securities Industry   Have you lost money with financial advisor Walter Parker of Titan Securities in Rowlett, Texas?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Walter Warren Parker. FINRA suspended Walter Parker from the securities industry for one month and fined him ...

13
Dec

INVESTOR WARNING! JOEANN WALKER Barred from Securities Industry

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INVESTOR WARNING!  JOEANN WALKER Barred from Securities Industry

JoeAnn Walker from Brockton, Massachusetts Barred From Securities Industry   Have you lost money with financial advisor JoeAnn Walker of Brockton, Massachusetts?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against JoeAnn M. Walker. FINRA barred JoeAnn Walker from the securities industry after she failed to adequately respond to an investigation.  ...

29
Nov

WARNING! Impending Investigation – DAVID REYNOLDS

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WARNING!  Impending Investigation – DAVID REYNOLDS

David Reynolds from Modesto, California Barred From Securities Industry   Have you lost money with financial advisor David Reynolds of Modesto, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against David Lee Reynolds. FINRA barred David Reynolds from the securities industry after he failed to respond to an investigation.  FINRA ...

17
Nov

WARNING! Impending Investigation – MICHAEL RESCINITI

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WARNING!  Impending Investigation – MICHAEL RESCINITI

Michael Resciniti, formerly of Laidlaw & Company, Suspended by FINRA   Have you lost money with financial advisor Michael Resciniti of Melville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael J. Resciniti. FINRA suspended Resciniti from the securities industry for seven months regarding allegations that he engaged ...

18
Oct

WARNING! Investigation of COLEMAN DEVLIN

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WARNING!  Investigation of COLEMAN DEVLIN

Coleman Devlin, formerly of Stifel Nicolaus & Company, Suspended by FINRA   Have you lost money with financial advisor Coleman Devlin of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Coleman J. Devlin. FINRA suspended Devlin from the securities industry for 30 days and fined him $5,000 regarding ...

18
Sep

ALERT! TODD JONES of J.P. Morgan SUSPENDED

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ALERT!  TODD JONES of J.P. Morgan SUSPENDED

Todd Jones, formerly of J.P. Morgan, Suspended Four Months from Securities Industry   Have you lost money with financial advisor Todd Jones of Seattle, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Todd Jason Jones. FINRA suspended Jones from the securities industry for four months and fined him $15,000. ...

31
Aug

WARNING! Impending Investigation – FREDERICK HOUCK

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WARNING!  Impending Investigation – FREDERICK HOUCK

Frederick Houck, formerly of Freedom Investors Corp., Suspended by FINRA   Have you lost money with financial advisor Frederick Houck of Spokane, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick D. Houck. FINRA suspended Houck from the securities industry for two months regarding allegations that he engaged in ...

30
Aug

ALERT! GEORGE THORESON of Seattle, WA BARRED

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ALERT!  GEORGE THORESON of Seattle, WA BARRED

George Thoreson, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor George Thoreson of Seattle, Washington?  We are investigating allegations made by the Securities and Exchange Commission (SEC), against George R. Thoreson. The SEC barred Thoreson from the securities industry.   The SEC was investigating George Thoreson regarding ...

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