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Did you lose money investing in a Walton Global Holdings private placement through a financial advisor?
Have you lost money due to the purchase of a private placement investment offered by Walton Global Holdings (Walton Global)? Investors in securities offered by Walton Global may be able to recover their losses if they purchased the investment due to an unsuitable...
read moreFINRA bars Richard Gomez (CRD #4727721, Jackson Heights, New York)
Richard Gomez (CRD #4727721, Jackson Heights, New York) April 30, 2018 – A National Adjudicatory Council (NAC) decision became final in which Gomez was barred from association with any FINRA member in all capacities. The NAC modified the sanctions and findings imposed...
FINRA bars Kristen L. Lewis (CRD #6577989, Marshall, Michigan)
Kristen L. Lewis (CRD #6577989, Marshall, Michigan) April 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lewis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lewis...
FINRA bars Dallas Richardson York (CRD #6449560, Phoenix, Arizona)
Dallas Richardson York (CRD #6449560, Phoenix, Arizona) April 16, 2018 – An Offer of Settlement was issued in which York was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations, York consented to the sanction...
FINRA bars Steven Pagartanis (CRD #1958879, Setauket, New York)
Steven Pagartanis (CRD #1958879, Setauket, New York) April 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Pagartanis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...
FINRA bars Ron Jason Ison (CRD #2897782, Manalapan, New Jersey)
Ron Jason Ison (CRD #2897782, Manalapan, New Jersey) April 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ison was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ison...
FINRA bars Tyler Harris (CRD #5860060, Elkins Park, Pennsylvania)
Tyler Harris (CRD #5860060, Elkins Park, Pennsylvania) April 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Harris was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Harris...