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Tag: misappropriation

Blog, Broker Investigations

Patrick Thayer Barred by Securities Regulator 

FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds  Update August 10, 2023: Financial advisor Patrick Thayer...

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Blog, Securities Fraud Articles

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....

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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,...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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