FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Tucker consented to the described sanction and to the entry of findings that she misappropriated approximately [...]
Broker Targeted Accounts of Elderly and Vulnerable Clients; Citigroup Has Paid Restitution to Customers
The Financial Industry Regulatory Authority (FINRA) recently announced that it has barred Tamara Lanz Moon of Redwood City , CA , from the securities industry for wrongfully taking over $850,000 in funds from at least 22 customers, including her own father. [...]