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Category Sanction

Chelsea Financial Services Broker, Charles Bloom, Barred By FINRA For Allegedly Recommending Unsuitable Investments

December 9, 2018

The Wolper Law Firm is currently investigating claims against Charles Bloom, a former Financial Adviser at International Asset Advisory and Chelsea Financial Services in Palm Beach County, Florida.  Charles Bloom has been in the securities industry since 2000 and worked at myriad brokerages during that period of time. According to publicly available records released by…

Former LPL Financial Advisor, Cheryl Ann Stallings, Barred By FINRA For Allegedly Converting Her Clients’ Money For Personal Use

November 25, 2018

The Wolper Law Firm is currently investigating claims against Cheryl Ann Stallings, a former Financial Advisor at LPL Financial in Amarillo, Texas.  Cheryl Ann Stallings has been in the securities industry since the 1990s and previously worked for Bank of America Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority…

FINRA Barred Broker, John Angelone, For Allegedly Selling Unregistered Securities

November 3, 2018

The Wolper Law Firm is currently investigating claims against John Angelone, a former Financial Advisor at Network One Financial Securities and Olympus Securities in Weston, Connecticut. Sean Kelly has been in the securities industry since the 1990s and previously worked at three brokerage firms that have since been expelled from the securities industry. According to…

Morgan Stanley Financial Advisor, John Halsey Buck III, Terminated For Failing To Disclose Private Securities Transactions And Now Has Also Been Sanctioned By FINRA

October 14, 2018

The Wolper Law Firm is currently investigating claims against John Halsey Buck III, a former Financial Advisor at Morgan Stanley in Boston, Mass. John Halsey Buck III has been in the securities industry since the 1970s and previously worked at UBS and Wachovia. According to publicly available records released by the Financial Industry Regulatory Authority…

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