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William Fitzgerald White – San Diego, California

An Offer of Settlement was issued in which White was fined $12,500 and suspended from association with any FINRA member in all capacities for 16 months. Without admitting or denying the allegations, White consented to the sanctions and to the entry of findings that he willfully failed to timely amend his Uniform Application for Securities […]

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Sandeep Varma – Encinitas, California

An AWC was issued in which Varma was fined $15,000 and suspended from association with any FINRA member firm in all capacities for 10 business days. Without admitting or denying the findings, Varma consented to the sanctions and to the entry of findings that he used a seminar slide presentation promoting a complex estate planning […]

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John William Bernard – San Luis Obispo, California

An AWC was issued in which Bernard was fined $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings, Bernard consented to the sanctions and to the entry of findings that he exercised discretion in the accounts of customers without having obtained the […]

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Sandlapper Securities, LLC , Jack Charles Bixler and Trevor Lee Gordon – Greenville, South Carolina

The firm, Bixler and Gordon were named respondents in a FINRA complaint alleging that they participated in a fraudulent scheme and defrauded investors by selling investments in saltwater disposal wells at excessive, undisclosed markups through a middleman “development” company owned and controlled by the firm Bixler, a firm principal and Gordon, the firm’s CEO. The […]

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Charles Bernard Lynch, Jr. – Corona, California

An AWC was issued in which Lynch was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lynch consented to the sanction and to the entry of findings that he recommended an investment strategy that was unsuitable for certain retail customers by recommending Disciplinary and Other FINRA Actions […]

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