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Financial Advisor Shirley Wong Has GWG L-Bonds Complaint

Shirley Wong (CRD#: 4869184) is a dually registered Broker and Investment Advisor at Ni Advisors in Daly City, CA. Broker’s Background She entered the securities industry in 2004 and previously worked for World Group Securities, Inc.; Citicorp Investment Services; and AXA Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Financial Advisor Seth Stewart Has Four Disclosed Customer Complaints

Seth Stewart (CRD#: 5467292) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2009 and previously worked for Center Street Securities, Inc.; and American Equity Investment Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Valentino Scott Has Disclosed Eight Customer Complaints

Valentino Scott (CRD#: 1497615) is a dually registered Broker and Investment Advisor at Centaurus Financial, Inc. in West Hills, CA. Broker’s Background He entered the securities industry in 1986 and previously worked for Montano Securities Corp.; Fortis Investors, Inc.; and Pruco Securities Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Financial Advisor David Feigeles Disclosed Two Customer Complaints

David Feigeles (CRD#: 1530561) is a dually registered Broker and Investment Advisor at Oppenheimer & Co., Inc. in Melville, NY. Broker’s Background He entered the securities industry in 1988 and previously worked for CIBC World Markets Corp.; Garban, LLC; Cantor Fitzgerald Securities; Garban Unlimited; Garban Securities, Inc.; and MKI Securities Corp. Current And Past Allegations […]

FINRA Initiates Investigation of Christopher Polinaire For Alleged Excessive Trading

Christopher Polinaire (CRD#: 4330879) is a registered Broker at Network 1 Financial Securities, Inc. in Hauppauge, NY. Broker’s Background He entered the securities industry in 2004 and previously worked for Arrive Capital Markets; First Standard Financial Company, LLC; Rockwell Global Capital, LLC; Salomon Whitney, LLC; CBG Financial Group, Inc.; Dalton Strategic Investment Services, Inc.; First […]

Complaint Pending Against Yvonne Zhong After Sale of GWG L-Bonds

Yvonne Zhong (CRD#: 3203120) is a registered Broker at Ni Advisors in Los Gatos, CA. Broker’s Background She entered the securities industry in 1999 and previously worked for Cetera Investment Services, LLC; LPL Financial, LLC; AXA Advisors, LLC; Ni Advisors; UCB Investment Services, Inc.; Supertrade Securities, Inc.; Golden Stream Securities, Inc.; and Youngblood Securities Corp. […]

Financial Advisor Paul Gallivan Suspended by the SEC for Allegedly Making Misrepresentations

Paul Gallivan(CRD#: 5793918) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2010 and previously worked for A.G.P. / Alliance Global Partners; Aegis Capital Corp.; Morgan Stanley; and Herbert J. Sims & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Financial Advisor Alan Douglass Has Disclosed Six Customer Complaints

Alan Douglass (CRD#: 1619835) is a registered Broker at Securities America, Inc. in Clearwater, FL. Broker’s Background He entered the securities industry in 1987 and previously worked for Investacorp, Inc.; Meridian, Dunhill & Co., Inc.; Monmouth Investments, Inc.; Barron Chase Securities, Inc.; Lehman Brothers, Inc.; Hanifen, Imhoff Securities Corp.; Graystone Nash, Inc.; Thomas James Associates, […]

Financial Advisor Daniel Mackle Has Three Disclosed Customer Complaints

Daniel Mackle (CRD#: 2239531) is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1992 and previously worked for MD Global Partners, LLC; Garden State Securities, Inc.; J.P. Turner & Company, LLC; Barron Chase Securities, Inc.; Worthington Capital Group, Inc.; Investors Associates, Inc.; M.S. Farrell & Co., Inc.; […]

Financial Advisor Robert Mehlin, Jr. Fined & Suspended by FINRA For Alleged Unauthorized Trading

Robert Mehlin, Jr. (CRD#: 736694) is a previously registered Broker and currently registered Investment Advisor. Broker’s Background He entered the securities industry in 1981 and previously worked for Coastal Equities, Inc.; Wells Fargo Advisors Financial Network, LLC; Morgan Stanley; Citigroup Global Markets, Inc.; RBC Dain Rauscher, Inc.; Tucker Anthony, Inc.; Gibraltar Securities Co; and Dolan […]