Articles Tagged with FINRA Rule 3270

FINRA has suspended broker Scott Niekamp from the securities industry for three months for engaging in two outside business activities without providing prior written notice to his firm, Northwestern Mutual Investment Services, LLC. Additionally, Niekamp loaned money to a firm customer in violation of the firm’s written supervisory procedures and FINRA rules.

Niekamp’s suspension is scheduled to begin on July 7, 2021, and end on October 5, 2021. He was fined $10,000.

If you have lost money with Scott Niekamp, or Northwestern Mutual Investment Services, LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA has suspended International Assets Advisory, LLC broker Ronald Patrick Cameron from the securities industry for five weeks for engaging in an outside business activity without providing prior written notice to his firm. The suspension is scheduled to start on May 17, 2021, and end on June 20, 2021. Cameron was also fined $5,000.

If you have lost money with Ronald Patrick Cameron, or International Assets Advisory, LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Letter of Acceptance, Waiver, and Consent (“AWC”)

FINRA has suspended Crown Capital Securities, L.P. broker Kevin Barton from the securities industry for four months for engaging in an outside business activity, exercising discretion in customers’ accounts without prior written authorization, and mismarking trades as unsolicited. Barton was also fined $17,500.

If you have lost money with Kevin Barton, or Crown Capital Securities, L.P., contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors in disputes with their financial advisors and brokerage firms, such as Crown Capital Securities, L.P.

FINRA has filed a complaint against former Advisory Group Equity Services Ltd. (AGES) broker Frank Sapareto. The March 31, 2021 complaint alleges that Sapareto engaged in an outside business activity without providing prior written notice to AGES, and that he repeatedly provided false or misleading information to FINRA to conceal his involvement in his outside business activity.

If you have lost money with Frank Sapareto, or AGES, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Disciplinary Proceeding No. 2018060379701

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