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Corporate Property Associates 18 – Global Incorporated (CPA:18 Global)
Have you lost money due to your purchase of shares in Corporate Property Associates 18 – Global Incorporated (CPA:18 Global) or are you unable to sell your stake in this investment? CPA:18 Global is a non-traded REIT that, per its SEC filings, “invest[s] primarily in...
read moreFINRA suspends Christine Alexandria Murphy (CRD #1510853, Delray Beach, Florida)
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Murphy was fined $5,000, suspended from association with any FINRA member in all capacities for one month and required to attend and satisfactory complete 10 hours of continuing...
FINRA suspends Claudio Leonardo Villa (CRD #5465144, Peekskill, New York)
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Villa was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 18 months. Without admitting or denying the findings, Villa...
FINRA suspends Ellen Marie Scambia (CRD #1320993, Harrison, New York)
March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Scambia was assessed a deferred fine of $5,000, suspended from association with any FINRA member firm in a Financial and Operations Principal (FinOp) capacity for 20 business days and...
FINRA suspends Kevin C. Yang (CRD #2834317, Pasadena, California)
March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Yang was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings,...
FINRA suspends Timothy John Beall (CRD #4458189, Eau Claire, Michigan)
March 8, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beall was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for nine months. Without admitting or denying the findings, Beall...
FINRA suspends Omer Ozeren (CRD #6171522, Chatsworth, California)
March 9, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ozeren was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay $9,388, plus interest, in...