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Author: Matt Wolper

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Financial Advisor Valence Williams Suspended by FINRA for Unauthorized Trading

Valence Montgomery Williams (CRD#:1389729) was a previously registered broker.   Broker’s Background He entered the securities industry in 1985 and previously worked with Shearson Lehman Brothers Inc.; Prudential-Bache Securities Inc.; Emanuel and Company (FINRA Expelled the firm on 10/13/1994); Dean Witter Reynolds Inc.; Stuart, Colemand & Co.,Inc.; Investec Ernst & Company; Maxim Group LLC; Gunnallen […]

Financial Advisor Brian K. Jones Subject of Allegations Involving Private Securities Transactions

Brian K. Jones (CRD#: 4203098) is a registered broker and financial advisor with Cambridge Investment Research, Inc. in Pilot Grove, IA.   Broker’s Background He entered the securities industry in 2000 and previously worked with IDS Life Insurance Company; American Express Financial Advisors, Inc.; Amcore Investment Services, Inc.; Cybus Capital Markets, LLC; First National Capital […]

Michael Raineri Barred by FINRA for Converting Customer Funds

Michael Patrick Raineri (CRD#: 4817558) was a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2006 and he previously worked with Pacific West Securities, Inc.; Cetera Advisors, LLC; KMS Financial Services, Inc.; and Securities America, Inc.   Allegations of Misconduct According to publicly available records released by the […]

Financial Advisor Michael Fisher Subject of Customer Disputes Alleging Unsuitable and Unauthorized Trading

Michael Fisher (CRD: 4056114) is a registered broker and investment advisor with Ameriprise Financial Services, LLC., in Melville, NY.   Broker’s Background He entered the securities industry in 2000 and previously worked with Citigroup Global Markets Inc.; Merril Lynch, Pierce, Fenner & Smith Incorporated; UBS Financial Services, Inc.; and Wells Fargo Advisors, LLC.   Current […]

Former Financial Advisor Emily J. Smith Suspended by FINRA for Falsifying Documents

Emily Jean Smith (CRD#: 6287728) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2014 and previously worked with Morgan Stanley, and Raymond James Financial Services, Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

LPL Financial Adviser Robert J. Earls, Jr. has Three Customer Complaints, Alleging Theft

Robert Earls, Jr. (CRD#: 1369915) is a previously registered Financial Advisor with LPL Financial, LLC in Roanoke, Virginia.  Broker’s Background Robert Earls, Jr.  entered the securities industry in 1985 and has worked for a number of brokerage firms, including Royal Alliance Associates, Inc., Uvest Investment Services, and most recently, LPL Financial, LLC. Current And Past […]

Financial Advisor Ran Regev is the Subject of a Customer Complaint Involving Investment Loss

Ran Regev (CRD#: 5469190) is a FINRA registered Financial Advisor. Broker’s Background Ran Regev entered the securities industry in 2008. He previously worked with Metlife Securities, Inc. and Sagepoint Financial, Inc., which is now owned by Osaic Wealth, Inc.  Ran Regev is located in Fort Lauderdale, FL. Allegations of Conduct Leading to Investment Loss The […]

FINRA Barred Former Broker Reuben Brown for Selling Away

Reuben Lamont Brown (CRD#: 7089559) is a previously registered broker and financial advisor.   Broker’s Background He entered the securities industry in 2019 and he previously worked with Edward Jones.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of 2024, without admitting or denying […]

SEC charges the Estate of Former Registered Investment Advisor Stephen Swensen for Fraudulent Investment Scheme

Stephen Romney Swensen (CRD#:2885578) was a registered broker and investment advisor.   Broker’s Background He entered the securities industry in 1997 and previously worked with Robert W. Baird & Co.; Northwestern Mutual Investment Services; Park Avenue Securities, LLC; Securian Financial Services, Inc.; Commonwealth Financial Network; Summit Brokerage Services, Inc.; Allegis Investment Services, LLC; J.W Cole […]

Financial Advisor Manuel Fernandez Subject of $1M Customer Dispute Involving Unsuitability

Manuel Antonio Fernandez (CRD#: 3079976) is a registered broker with Truist Investment Services, Inc. in Coral Gables, FL.   Broker’s Background He entered the securities industry in 1998, and he previously worked with UBS Painewebber, Morgan Stanley, and SunTrust Investment Services, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss According to […]