Ken Harrison 6:41 p.m., Dec. 12
FINRA disciplines six area customers' representatives
The Financial Industry Regulatory Authority (FINRA) has disciplined six San Diego County customers' representatives.
Ian Christopher Belderes of Del Mar was fined $5000 and suspended six months for failing to report in timely fashion that he had been charged with two counts of felony criminal violations of the California Health and Safety Code; Wade Harlow Bradley of Carlsbad was fined $7500 and suspended six months for breaking rules selling stock in a company selling a motion picture;
Steven Paul Capozza of Rancho Santa Fe was fined $7500 and suspended one year for making transactions when his firm did not meet minimum capital requirements resulting from improper accounting; Matthew Francis Deline of Encinitas was barred from the industry for failure to appear for an interview;
Timothy Hamilton Jobe of Escondido was fined $5000 and suspended 60 days for lending $330,000 to a customer to purchase a residence, and Gary Aquino Ladrido of San Diego was suspended for failure to comply with an arbitration award or settlement agreement and not responding to FINRA questions.
More like this:
- FINRA fines LPL Financial for faulty email system — May 21, 2013
- Carlsbad broker suspended, fined for trust activity — May 17, 2013
- FINRA disciplines two brokers — Feb. 12, 2013
- SD Firm, Individuals Disciplined — May 27, 2012
- Two Brokers Disciplined — Feb. 16, 2012