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Financial Advisor Ian Geeves Accused of Misappropriation

Ian A Geeves (CRD#: 5328479) is a registered broker and investment advisor at Vanderbilt Securities, LLC in Carlsbad, CA. Broker’s Background He entered the securities industry in 2009 and previously worked for LPL Financial LLC; U.S. Bancorp Investments, Inc.; Chase Investment Services Corp.; and Bancwest Investment Services, Inc. Current Allegations of Conduct Leading to Investment […]

The SEC and FINRA Bar Previously Registered Broker Ronald Molo for Allegedly Stealing from Investors

Ronald Terrence Molo (CRD#: 4371241) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2001, and has previously worked for Edward Jones in Joliet, IL. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2023, the Securities and Exchange […]

Attention Clients of Cetera that Invested in Beechwood Bermuda

Haiguang Yin (CRD#: 3249933), known as “John Yin” was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1999 and has previously worked for a number of different brokerage firms.  Most recently, from 2013-2023, John Yin worked at Cetera Investment Services, LLC and also offered services through East West […]

The Wolper Law Firm Has Filed An Arbitration Against Regulus Advisors, LLC, Vanderbilt Securities, LLC and Kurt Berry

In March 2019, the Wolper Law Firm, P.A., a national securities litigation law firm, filed an arbitration claim Regulus Advisors, LLC, Vanderbilt Securities, LLC and Kurt Berry before the Financial Industry Regulatory Authority (FINRA).  The arbitration relates to alleged sales practice misconduct allegedly committed by Kurt Berry when he recommended that retail securities clients invest […]

Financial Advisor Michael Corrada Discloses Several Customer Disputes Alleging Unsuitable Investments

Michael Corrada (CRD# 709158) was a previously registered broker and financial advisor. Broker’s Background He entered the securities industry in 1980 and previously worked for Center Street Securities, Inc.; Coastal Equities, Inc.; Centaurus Financial, Inc.; SunTrust Investment Services, Inc.; BB&T Investment Services, Inc.; Crestar Securities Corporation; Signet Investment Corporation; E.F Hutton & Company Inc.; Merrill […]

Financial Advisor Joseph Hanson Suspended by FINRA

Joseph Hanson (CRD#: 5109237) was a registered broker and investment advisor. Broker’s Background He entered the securities industry in 2006. He previously worked for the O.N Equity Sales Company; Metlife Securities Inc.; and Metropolitan Life Insurance Company. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November […]

Investment Advisor Scott Wolfrum Has Eight Investment Disclosures

Scott Wolfrum (CRD#: 2187550) is a registered Investment Advisor at Wolfrum and Co., in Indianapolis, IN. Broker’s Background He entered the securities industry in 1991 and he previously worked for Huntleigh Securities Corporation; Noyes Advisors LLC; David A. Noyes & Company; Wells Fargo Advisors Financial Nework, LLC; Wells Fargo Advisors, LLC; A.G Edwards & Sons, […]

Investment Advisor Bradley Holts Subject of SEC Proceedings Alleging Misappropriation

Bradley Holts (CRD#: 5819398) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2010, and has previously worked for World Capital Brokerage, Inc.; Supreme Alliance, LLC; Capital One Investing, LLC; and Edward Jones. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records […]

SEC Initiates Civil Complaint Against Investment Advisor Julie Anne Darrah

Julie Anne Darrah (CRD#: 2102014) was a previously registered broker and investment advisor. Broker’s Background She entered the securities industry in 2001, and has previously worked for Wealth Enhancement Advisory Services, LLC; Vivid Financial Management, Inc.; Mutual Securities, Inc.; and National Planning Corporation. Allegations of Misconduct According to publicly available records released by the Financial […]

Financial Advisor Nisreen Byrne Has Thirteen Disclosed Customer Complaints

Nisreen Byrne (CRD# 2223199) is a registered broker and investment advisor at J.P Morgan Securities LLC Broker’s Background Nisreen Byrne entered the securities industry in 1992. She previously worked at Chase Investment Services Corp.; Banc One Securities Corp.; First Chicago NBD Investment Services, Inc.; and Essex National Securities, Inc. Current and Past Allegations of Conduct […]