Tag: misappropriation
Patrick Thayer Barred by Securities Regulator
FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds Update August 10, 2023: Financial advisor Patrick Thayer...
Investigation: Travis Wright And Waterford Loan Fund
The U.S. Securities and Exchange Commission has recently sued a Utah man for fraudulently misusing $139 million of investor funds....
Christopher William Shanahan barred from securities industry
FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association...
Daniel Glenn Carlen barred from securities industry
FINRA recently announced that Daniel Glenn Carlen, formerly a registered representative for Slavic Investment Corporation in Boca Raton,...
Michael J. DiMare barred from securities industry
The Financial Industry Regulatory Authority (FINRA) recently announced that it has permanently barred Ponte Vedra Beach, FL, registered...
Thailia Alisa Tucker barred from FINRA for securities fraud
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been...
