mutual fund switching
Tag Archive

• New Jersey Financial Advisor barred from securities industry for alleged mutual fund switches.

  May 7, 2013 Comments (0) Blog, Securities Fraud

  FINRA recently announced that Sean Francis Sheridan (a financial advisor based in Oakhurst, New Jersey) has been barred from association with any FINRA member in any capacity. According to the announcement, without admitting or denying the allegations, Sheridan consented to the entry of findings that he recommended

  Read More »

• Mark Francis Harper, formerly of Bentley-Lawrence Securities, Inc., barred from securities industry.

  May 26, 2010 Comments (0) Blog, Securities Fraud

  FINRA recently announced that Mark Francis Harper, formerly of Bentley-Lawrence Securities, Inc. in Stow, Ohio, has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Harper engaged in a pattern of mutual fund switching in customer’s accounts without

  Read More »