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FINRA Accepts Settlement Offer From Cabot Lodge Securities After Alleged Violations of Supervisory and Suitability Rules

May 4, 2021

The Financial Industry Regulatory Authority (FINRA) accepted an offer of settlement from Cabot Lodge Securities LLC (CRD No. 159712) on April 6, 2021, after an investigation into violations of the agency’s supervisory and suitability rules. Cabot Lodge Securities LLC (CRD No. 159712) has been a FINRA member since August 2012 and is headquartered in New…

Independent Financial Group Censured and Fined After Rule Violations on Suitability and Supervision Involving Non-Traded REITs

May 4, 2021

A FINRA regulatory sanction was finalized against Independent Financial Group, LLC (CRD No. 7717) on April 8, 2021, imposing a censure and $200,000 fine, and requiring certification supervisory procedures. The Financial Industry Regulatory Authority recently took action against Independent Financial Group, LLC which offers investment products to retail customers through more than 650 registered representatives…

FINRA Filed An Enforcement Action Against Former IFS Securities Broker Steven Schisler For Allegedly Selling Away

May 4, 2021

Steven Schisler (CRD#: 2367961) is a former Registered Broker at IFS Securities in Grassvalley, CA. He entered the securities industry in 1993 and previously worked for Sterne Agee Financial Services, Inc.; Synergy Investment Group, LLC.; Pension Planners Securities, Inc.; Washington Square Securities, Inc.; Sunset Financial Services, Inc.; Sunamerica Securities, Inc.; and Chubb Securities Corp. According…

Cetera Advisors Financial Advisor Patricia Gleason Has Pending Customer Complaint, Alleging Unsuitable Investment Recommendations

May 4, 2021

Patricia Gleason (CRD#: 2811669) is a Registered Broker and Investment Advisor at Cetera Advisors, LLC in Orlando, FL. She entered the securities industry in 1996 and previously worked for Morgan Stanley & Co., Inc.; MML Investors Services, Inc.; AXA Advisors, Inc.; Advest, Inc; A.G. Edwards & Sons, Inc.; Merrill Lynch, Pierce, Fenner & Smith, Inc.;…

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis