June 25, 2022
Update 6/10/2022: The SEC files enforcement actions against Michael Mooney, Britt Wright and Penny Flippen. Lawsuits target Horizon Private Equity and John Woods Ponzi scheme. The Wolper Law Firm has filed several arbitration claims with the Financial Industry Regulatory Authority (“FINRA”) on behalf of victims of the alleged Ponzi scheme perpetrated by John Woods, a […]
January 25, 2022
The Financial Industry Regulatory Authority (FINRA) has completed its sweep of broker-dealers’ unlawful sales practices relating to unit investment trusts, and as a result, issued fines to several of them. Areas of concern to FINRA included suitability, supervision, and excessive trading in violation of FINRA Rules. What is a Unit Investment Trust (UIT) A Unit […]
June 16, 2021
Jeffrey Warren (CRD#: 2707969) was previously a dually registered Broker and Investment Advisor at Oppenheimer & Co., Inc. in Boca Raton, FL. He entered the securities industry in 1996 and previously worked for Wachovia Securities, LLC; UBS Financial Services, Inc.; and Prudential Securities, Inc. According to publicly available records released by the Financial Industry Regulatory […]
November 15, 2020
Ivan Shore is a Financial Advisor at Oppenheimer & Co. in New York, NY. Ivan Shore has been in the securities industry since 1981 and previously worked at Gruntal & Co. In November 2020, the Financial Industry Regulatory Authority (FINRA) sanctioned Ivan Shore, suspending him for a period of three months and imposing a fine. […]
October 10, 2020
Matthew Platnico (CRD# 2102086) is a Financial Advisor at Allied Millennial Partners, LLC in New York, NY. Matthew Platnico has been in the securities industry since 1991 and previously worked at 12 different brokerage firms. Matthew Platnico’s employment history includes Arete Wealth Management, LLC, Oppenheimer & Co. Inc., Advest, Inc., and Wachovia Securities, LLC. According […]
August 4, 2020
Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]
July 14, 2020
Dennis Ayre (CRD # 5365176) is a previously registered broker at Hilltop Securities Inc. Beverly Hills, CA. Dennis Ayre has been in the securities industry since 2008 and previously worked at Oppenheimer & Company, Inc. and Merrill Lynch, Pierce, Fenner and Smith Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]
May 17, 2020
David Krumrey (CRD # 4121845) was a Financial Advisor at Oppenheimer & Co., Inc. in the Woodlands, Texas. David Krumrey has been in the securities industry since 2000 and previously worked at the Stanford Group Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 3, 2018, FINRA sanctioned […]
May 2, 2020
Timothy Atyeo (CRD # 1544728) is a Financial Advisor at Oppenheimer & Co. in Fort Lauderdale, FL. Timothy Atyeo has been in the securities industry since 1986 and previously worked at CIBC World Markets and PaineWebber. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Timothy Atyeo has been the subject […]
January 5, 2020
On December 30, 2019, Oppenheimer & Co. became the latest brokerage firm sanctiuoned by FINRA for unlawful sales practices relating to Unit Investment Trusts (UITs”). Oppenheimer was fined $800,000 and ordered to pay restitution to customers in the amount of $3.87 million. The alleged misconduct related to short-term transactions in UITs, which are designed to […]