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Financial Advisor Mark Gelbman Was Terminated By Principal Securities

Mark Gelbman (CRD#: 4533497) is a dually registered Broker and Investment Advisor at Kestra Investment Services, LLC in Clive, IA. Broker’s Background He entered the securities industry in 2002 and previously worked for Principal Securities, Inc.; LPL Financial, LLC; Northwestern Mutual Investment Services, LLC; VSR Advisory Services; VSR Financial Services, Inc.; Ameriprise Financial Services, Inc.; […]

Independent Financial Group Financial Advisor Jerry Tuma Has Five Disclosed Customer Complaints

Jerry Tuma (CRD#: 730104) is a dually registered Broker and Investment Advisor at Independent Financial Group, LLC in Dallas, TX. Broker’s Background He entered the securities industry in 1981 and previously worked for Independent Financial Group, LLC; Cambridge Legacy Securities, LLC; AIG Financial Advisors, Inc.; SunAmerica Securities, Inc.; Anchor National Financial Services, Inc.; and Waddell […]

Former Spartan Capital Securities Broker Phillip Marchese Suspended by FINRA

Philip Marchese (CRD#: 5905008) is a previously registered Broker. Broker’s Background He entered the securities industry in 2011 and previously worked for Spartan Capital Securities, LLC; Joseph Stone Capital, LLC; Spartan Capital Securities, LLC; Worden Capital Management, LLC; Legend Securities, Inc.; Joseph Gunnar & Co.; and Brookstone Securities, Inc. Current And Past Allegations Of Conduct […]

Berthel Fisher Sanctioned by FINRA for Unsuitability and Failure to Supervise

Berthel Fisher & Co. Financial Services, Inc. (CRD No. 13609) just settled a FINRA investigation after allegations of unsuitability were made by a customer, which then exposed poor supervisory practices that contributed to investment loss. Both of these are violations of FINRA rules meant to protect investors. Berthel Fisher is a long-standing member of FINRA, […]

Three Complaints Pending Against Financial Advisor Seth Stewart

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

SEC Alleges Former Morgan Stanley Investment Advisor Shawn Good Involved In Ponzi Scheme

Shawn Good (CRD#: 2022168) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; and Charles Schwab & Co, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss In April 2022, United States Securities […]

Former Ameriprise Financial Investment Advisor Shawn Parker Barred by FINRA

Shawn Elizabeth Parker (CRD#: 1768234) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background She entered the securities industry in 1987 and previously worked for Ameriprise Financial Services, LLC; and IDS Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Complaints Pending Against Brokers Joseph “Joe” Latour and Tony Barouti in the Wake of GWG Holdings Bankruptcy

Joseph “Joe” Latour (CRD#: 4436861) is a registered Broker and Investment Advisor at Center Street Securities, Inc. in Springfield, MO, and Latour Asset Management in Springfield, MO; and Tony Barouti (CRD#: 3031995) is a registered Broker at Emerson Equity, LLC in Los Angeles, CA. Brokers’ Background Joseph Latour entered the securities industry in 2001 and […]

Money Concepts Broker Christopher Passero Fined and Suspended By FINRA

Christopher Passero (CRD#: 2517681) is a registered Broker at Money Concepts Capital in Hurricane, WV. Broker’s Background He entered the securities industry in 1994 and previously worked for Emissary Financial Group, Inc.; and Money Concepts Capital Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Former Edward Jones Financial Advisor John Winslow Barred by FINRA

John Winslow (CRD#: 3071933) is a previously registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Edward Jones, UnionBanc Investment Services, LLC; Key Investment Services, LLC; and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly […]