Federal securities regulators fined two Orange County stockbrokers for separate violations, barring one of them from the industry and suspending the other for 90 days.
Tibor Robert Komoroczy of Laguna Niguel, who was barred, was accused of making trades in customers’ accounts without their authorization or consent. The National Assn. of Securities Dealers also fined him $40,000 and required him to pay $168,000 in restitution.
Anthony Joseph Amaradio of Laguna Hills, who was suspended, was accused of recommending to customers that they buy certain securities without having reasonable grounds to believe the securities were suitable for the customers. He was fined $75,000 and ordered to pay $13,805 in restitution.
The brokers didn’t admit any wrongdoing but consented to the findings by the NASD, which regulates broker-dealers. Neither broker could be reached for comment.