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- Category: 1inMM Capital LLC
- Category: 1st Global Capital
- Did You Invest In 1st Global Capital Or 1st West Capital Through James “Jim” Heafner or Heafner Financial Solutions in Charlotte, North Carolina
- The Wolper Law Firm, P.A. Has Filed A $1.8 Million Lawsuit Against Trae Wieniewitz, Wieniewitz Financial, LLC And Wieniewitz Wealth Management, LLC For The Unlawful Sale Of 1st Global Promissory Notes
- Did You Invest In 1st Global Capital Or 1st West Capital Through Pinnacle Plus Financial a/k/a Pinnacle Plus Wealth Management in Overland Park, Kansas?
- INVESTOR UPDATE—On August 23, 2018, The SEC Filed A Complaint Against 1st Global Capital, 1st West Capital, Carl Ruderman And Entities Controlled By Carl Ruderman Alleging Securities Fraud?
- Did You Invest In 1st Global Capital Or 1st West Capital Through KNR Consulting Or Kevin Richards In Laguna Niguel, California
- INVESTOR UPDATE—How Can I Recover My Investment In 1st Global Capital And 1st West Capital?
- Did You Invest In 1st Global Capital Or 1st West Capital Through Henry Wieniewitz a/k/a Trae Wieniewitz Or Wieniewitz Wealth Management a/k/a Wieniewitz Financial In Knoxville, Tennessee
- INVESTOR FRAUD ALERT—The SEC Has Launched An Investigation Into 1st Global Capital And 1st West Capital Regarding Suspected $283 Million Loan Fraud
- Category: 1st West Capital
- Category: Aegis Capital Corp
- FINRA Suspends Former Aegis Capital Broker Scott Hananel For Alleged Excessive Trading
- Aegis Capital Broker Arkady Ginsburg Suspended by FINRA After Allegations of Excessive Trading
- Former Aegis Capital Corp. Broker Douglas Szempruch Suspended by FINRA
- FINRA Suspended Joseph LaScala Jr. For Alleged Excessive Trading
- Aegis Capital Corp. Broker Johnny Guan Has Four Customer Complaints
- Former Aegis Broker Joseph Giordano Suspended After Allegations He Permitted Excessive and Unsuitable Trading
- Complaint Pending Against Former Aegis Capital Broker Robert Buffington Alleging Investment Loss
- Aegis Capital Corp. Sanctioned by FINRA After Allegations of Insufficient Supervisory Procedures; Ordered to Pay Back Investors After Investment Loss
- Previously Registered Broker Scott Hananel Has Six Customer Complaint Disclosures
- Aegis Capital Corp. Financial Advisor Scott Hananel Has Six Customer Complaint Disclosures
- FINRA Enforcement Action Pending Against Aegis Capital Corp. Broker Daniel O’Neill After Allegations of Unauthorized Trading
- Aegis Capital Corp Broker Gilbert Kuta Suspended After Allegations of Exercising Discretion Without Authorization
- Aegis Broker, Yann Faho, Has Two Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- FINRA Filed An Enforcement Proceeding Against Against Aegis Capital Corp. Broker Kishan Parikh After Allegations of Excessive and Unsuitable Trading
- Aegis Capital Broker Douglas Szempruch Suspended by FINRA After Allegations of Unsuitability
- Aegis Capital Corp. Registered Broker Corey Alexander Johnson Suspended by FINRA After Allegations of Exercising Discretion Without Authorization
- Former Aegis Capital Corp. Investment Advisor Anthony Tricarico Suspended and Fined
- Former Aegis Capital Corp. Investment Advisor Steven Luftschein Permanently Barred for Alleged Excessive and Unauthorized Trading
- Former Registered Aegis Capital Corp. Broker, Robert Buffington, Has Had Four Customer Complaint Disclosures Since February 2018
- Aegis Capital Corp. Financial Advisor, Thomas Kelly, Jr., Has Had Fifteen Disclosed Customer Complaints During His Career
- Aegis Capital Corp. Broker, Thomas Duggan, Has Had Three Customer Complaint Disclosures Since July 2001
- Aegis Capital Corp. Broker, Matthew Gaer, Has Had Two Customer Complaint Disclosures Since September 2019
- Former Aegis Capital And Joseph Stone Capital Broker, Steven Luftschein, Has 17 Disclosed Customer Complaints And A Pending FINRA Enforcement Action
- Former Spartan Securities and Aegis Capital Broker, Pratul Agnihotri, Is The Subject Of A FINRA Disciplinary Proceeding For Allegedly Converting Customer Funds
- Aegis Capital Financial Advisor, Nicholas Tsikitas, Has Eight Customer Complaints, Including One Two Complaints
- Aegis Capital Financial Advisor, Harold Weber, Has Five Customer Complaints, Including One Pending Complaint
- Aegis Capital Financial Advisor, James Mariani, Has Seven Customer Complaints, Including One Pending Complaint
- Did You Buy Shares Of GPB Capital Holdings Through Aegis Capital, National Securities Corp. Or Michael Fasciglione?
- Aegis Capital Financial Advisor, Alan Appelbaum, Has Eleven Customer Complaints And Three Disclosued Regulatory Events
- INVESTOR ALERT—Aegis Capital Corp. Financial Advisor, Michael Fasciglione, Has Thirteen Customer Complaints, And Two Regulatory Disclosures
- INVESTOR ALERT—Aegis Capital Corp. Financial Advisor, Paul Falcon, Has Six Customer Complaints, Including One Pending Complaint
- Aegis Capital Broker, Harold Weber, Has Had Four Customer Complaints Since 2016, Including One Pending Complaint
- Aegis Capital Broker, Pedro Rodriguez, Has Two Pending Customer Complaints Alleging Unsuitable Investment Recommendations
- Aegis Capital Financial Advisor, James Mariani, Has Pending Customer Complaint For Breach Of Fiduciary Duty
- Aegis Capital Financial Advisor, Damian Mamane, Has $600,000 Complaint For Unauthorized Trading
- Aegis Capital Financial Advisor, Dominic Diorio, Has A Pending Complaint For $837,500
- Category: Aequitas Commercial Finance
- Category: AFIN
- Category: Alexander Capital
- Category: Allegis Investment
- Category: Alliance Global Partners
- Category: Allied Millennial Partners Financial
- Category: Allstate Financial Services
- Category: American Asset Advisory LLC
- Category: American Capital Partners
- Category: American Finance Trust
- Category: American Independent Investment Group
- Category: American Independent Securities Group
- Category: American Portfolio Services
- Category: American Realty Capital
- Category: American Realty Capital REIT
- Category: American Wealth Management
- Category: Ameriprise Financial Services
- Former Ameriprise Financial Investment Advisor Shawn Parker Barred by FINRA
- Ameriprise Financial Advisor Ronald S. Bright Suspended by FINRA For Alleged Unauthorized Trading
- Former Ameriprise Financial Services Advisor Murray Petersen Barred by FINRA After Allegations of Selling Away Leading to Investment Loss
- Four Complaints Filed Against Ameriprise Financial Services Investment Advisor Kevin Houser Alleging Unsuitable Recommendations
- Former Ameriprise Financial Services Broker and Investment Adviser Angel Bardeche Fined and Suspended After Engaging in Unsuitable Mutual Fund Trading for Clients
- Former Ameriprise Financial Services, Inc. Broker, Sean Refsnider, Barred By FINRA For Allegedly Converting Assets From An Elderly Client
- Former Ameriprise Financial Services, LLC Advisor, Arthur Hoffman, Barred By FINRA For Allegedly Failing To Provide Documents In Relation To Investigation Into Outside Business Activities
- Former Ameriprise Financial Services Broker, Bryant Caveness, Barred By FINRA
- Ameriprise Financial Advisor, Jeffrey McHale, Has Three Customer Complaints, Alleging Sales Practice Misconduct
- Ameriprise Financial Services Broker, Joseph Peggs, Has Eight Disclosed Customer Complaints Alleging Various Sales Practice Violations
- Ameriprise Financial Advisor, Stan Leavitt, Had Two Customer Complaints In 2018
- Ameriprise Financial Advisor, Keith Kordich, Has Six Customer Complaints
- Ameriprise Financial Advisor, Bruce Smith, Has Pending Complaint Regarding The Sale Of Non-Traded Real Estate Investment Trusts
- Financial Advisor, Stan Leavitt, Has Two Customer Complaints Since 2017, Including One Pending Complaint
- Ameriprise Financial Advisor, Michael Lipscomb, Has Six Customer Complaints For Alleged Sales Practice Violations
- Financial Advisor, Robert Humberston, Sanctioned By FINRA
- Tampa Based Ameriprise Financial Advisor, Michael Pepe, Has $750,000 Pending Customer Complaint
- INVESTOR WARNING—Did/Do You Invest Your Money With Jack Griffith At Janney Montgomery Scott Or Ameriprise Financial Services, Inc.?
- Former UBS Financial Services, LLC And Current Ameriprise Financial Services Financial Advisor, James Kujawski, Was Discharged By UBS And Is Currently The Subject Of A FINRA Investigation
- Category: Ameritas Investment Corp
- Category: Arive Capital
- Category: Arive Capital Markets
- Category: Arkadios Capital
- Category: Ascendant Alternative Strategies
- Category: Aurora Securities
- Category: Ausdal Financial Partners
- Category: AXA Advisors LLC
- Category: Bankers Life Securities
- Category: BB&T Securities
- Category: Benefit Street Partners
- Category: Benjamin & Jerold Brokerage
- Category: Benjamin Edwards
- Category: Benjamin Edwards & Co
- Category: Berthel Fisher & Co.
- Berthel Fisher Sanctioned by FINRA for Unsuitability and Failure to Supervise
- Former Berthel, Fisher & Co Investment Advisor, Dennis Fearing, Has Three Customer Complaint Disclosures
- Former Berthel Fisher Broker, Mason Gann, Suspended By FINRA For Three Months Based On Allegations Of Risky Options Trading In The Account Of A Senior Investor
- Berthel Fisher Broker, Genevieve Mar, Has Four Customer Complaints, Including Two Pending Complaints, Alleging The Sale Of Unsuitable Securities
- Berthel Fisher Financial Advisor, Jonathan Pyne, Has Had Six Customer Complaints Since 2011, Including Two Pending Complaints
- Berthel Fisher Financial Financial Advisor, Jonathan Pyne, Has Six Customer Complaints
- Berthel Fisher Financial Financial Advisor, Genevieve Mar, Has Three Customer Complaints, Including One Pending Complaint Alleging Unsuitable Investment Recommendations
- Category: Bhargava Capital Financial
- Category: BMA Securities
- Category: BMO Harris
- Category: BOK Financial Securities
- Category: Breitburn Energy
- Category: Brokers International Financial Services
- Category: Buckman Buckman & Reid
- Category: Cabot Lodge Securities
- Category: Cadaret Grant & Co.
- Cadaret, Grant & Co. Financial Advisor, William Johnson, Has Six Customer Complaints, Alleging Sales Practice Misconduct
- Former Cadaret, Grant & Co., Inc. Broker, Timothy Pandekakes, Suspended by FINRA For Three Months And Fined $20,000 For Allegedly Recommending Unsuitable Exchanges of Variable Anuities
- Cadaret, Grant & Co., Inc. Broker, Michael Coomes Jr., Suspended 15 Days By FINRA For Allegedly Exercising Discretion In Customer Accounts Without Authorization
- Cadaret, Grant & Co., Inc. Broker, William Winchester, Fined By The Tennessee Securities Division Following Allegations
- Cadaret, Grant & Co., Inc. Broker, Steven Hoffman, Has Had Five Customer Complaint Disclosures Since April 2006
- Cadaret Grant & Co. Broker, Eugene Long, Suspended By FINRA For 15 Days, For Allegedly Exercising Discretion In Client Accounts Without Authority
- Former Cadaret, Grant & Co. Broker, Gerald Dewes, Barred By FINRA For Failing Cooperate With Investigation Regarding Selling Away
- Category: Calton & Associates
- Category: Cambria Capital
- Category: Cambridge Investment Research
- Former Cambridge Investment Financial Advisor Dale Wright Has Ten Customer Complaints
- FINRA Fines Multiple Brokerage Firms For Short Term Trading In Unit Investment Trusts
- Former Cambridge Investment Research Financial Advisor David Melilli Barred by FINRA After Allegations of Exercising Discretion Without Authorization That Resulted In Investment Loss
- Cambridge Investment Research, Inc., Sanctioned by FINRA for Sales Practices Relating To Sales And Supervision Of LJM Preservation & Growth Fund
- Cambridge Investment Research Financial Advisor Stewart Schram Suspended by FINRA for Allegedly Selling Away
- Former Cambridge Investment Research Financial Advisor Michael Francoeur Barred After Selling Away
- Cambridge Investment Research, Inc. Broker, Philip Smelser, Has Had Two Customer Complaint Disclosures Since January 2019
- Former Cambridge Investment Research Broker, Gary Meier, Has Six Customer Complaints, Including Five Pending Complaints
- Cambridge Investment Research Financial Advisor, Alan Dole, Has Two Pending Customer Complaints
- Financial Advisor, John Pronovost, Has Had Five Customer Complaints Filed Against Him In 2018 For Alleged Sales Practice Violations
- Category: Cantella & Co.
- Category: Cantone Research Inc
- Category: Capital City Securities
- Category: capital financial services
- Category: Capital Portfolio Management
- Category: Capitol Securities Management
- Category: Carlton & Associates
- Category: Celadon Financial Group
- Category: Centaurus Financial
- Former Centaurus Financial Investment Advisor Galen Kopman the Subject of Pending Customer Complaint for Recommending Unsuitable Investments
- Former Centaurus Financial, Inc. Financial Advisor Jonathan Dudley Permanently Barred For Failing To Cooperate In FINRA Investigation Regarding Conversion Of Customer Funds
- Former Centaurus Financial Inc. Advisor, Tony Kassaei, Barred By FINRA For Allegedly Participating in Undisclosed and Unapproved Private Securities Transactions
- The State of Colorado Has Commenced An Enforcement Action Against Centaurus Financial And Its Brokers Ricky “Rick” Mantei And Cindy Chiellini
- FINRA Files An Enforcement Action Against Former JP Turner And Current Centaurus Broker, Ricky “Rick” Mantei
- Wolper Law Firm, P.A. Investigates Centaurus Financial, Inc. Regarding The Sale Of Structured Notes, Steepener Notes and Variable Rate Certificates of Deposit (CDs)
- Centaurus Financial Advisor, Dana Hawkins, Has Three Customer Complaints
- INVESTOR ALERT: Centaurus Financial Advisor, John Marshall, Jr., Has A Pending Customer Complaint
- Centaurus Financial Broker, Marc Korsch, Has Had Two Customer Complaints Since 2017, Alleging Unsuitability
- INVESTOR ALERT—Centaurus Broker Donnie Ingram Has Nine Customer Complaint Since 2012
- INVESTOR ALERT—Centaurus Financial Broker, Bryon Martinsen, Has Pending Complaint Alleging Fraud And Unsuitability
- Centarus Financial Terminated Financial Advisor Larry Templin For Allegedly Engaging In “Bank Fraud”
- Category: Center Street Securities
- Category: Century Securities Associates
- Category: Cetera Advisors
- Former Cetera Advisors Broker, Scott Kozak, Suspended By FINRA For Two Years, For Allegedly Engaging In Private Securities Transactions
- Former Ceteral Advisors Network Broker, David Aaron Rockwell, Barred By FINRA For Failing To Respond To FINRA Request For Information
- Former Cetera Advisors Broker, Roger Owens, Suspended Twelve Months By FINRA Over Allegations He Engaged In Private Securities Transactions Involving A Real Estate Investment Fund
- Former Cetera Advisors Broker, Stephen Carver, Barred By FINRA
- Former Cetera Financial Advisor, David Rockwell, Has Two Pending Customer Complaints Disclosed On His CRD Alleging Sales Practice Violations
- Cetera Advisors Financial Advisor, Richard Pittman, Has Three Customer Complaints Alleging Unsuitable Investment Recommendations
- Barred Financial Advisor, George Merhoff, Has Twenty-Seven Customer Complaints, Including Seven Pending Complaints, Alleging Sales Practice Violations
- Cetera Advisors, LLC Broker, Travis Hughes, Has Twelve Customer Complaints, Including One Pending Complaint
- Cetera Advisors Terminated Scott Kozak For “Violating Firm Policy Prohibiting Securities Transactions”
- Category: Cetera Advisors LLC
- Cetera Advisors Financial Advisor Ronald Whittingham Fined and Suspended by FINRA After Allegations Of Unsuitable Investments Resulting in Investment Loss
- Suitability Allegations Related to Northstar Bermuda Investment Loss Pending Against Cetera Investment Services Financial Advisor Sarah Komischke
- Former Cetera Advisors Broker Walter Allen Barred by FINRA After Refusing to Cooperate with Investigation Alleging Discretionary Trading Without Authorization
- Broker Walter Allen, Cetera Advisors, Barred by FINRA After Allegations of Refusing Request for Information
- Two Customer Complaints Filed Against Former Cetera Advisors Financial Advisor Todd Ray Anderson
- Cetera Advisor Networks Financial Advisor Ronnie Metcalf Has Ten Customer Complaint Disclosures, Including Seven Pending Complaints
- Lang Phu Nguyen, Investment Advisor at Cetera Advisors LLC, Suspended and Fined for Exercising Discretion Without Authorization
- Former Summit Brokerage Services, Inc Broker, Richard Whitfield Brown, Has Had Nine Customer Complaint Disclosures
- Former Cetera Advisor Networks LLC. Broker, Stanley Secor, Barred By FINRA
- Cetera Investment Services LLC, Kevin McCoy II, Has Had Four Customer Complaint Disclosures Since December 2019
- Cetera Advisor Networks Broker, Victor Rigoni, Has Six Disclosed Customer Complaints, Including Two Pending And Three Settled Complaints
- Former Cetera Financial Advisor, Christopher Kozak, Suspended By FINRA For Allegedly Engaging In Undisclosed Outside Business Activity
- Former Cetera Financial Advisor, James Gregory McKinney, Investigated By FINRA For Alleged Violation Of FINRA Rules
- The Wolper Law Firm Has Filed An Arbitration Claim Against Investors Capital Corp. And Cetera Advisors, LLC, Based On Alleged Sales Practice Misconduct Committed By Former Financial Advisor, Robert Ginsberg
- INVESTOR ALERT – Cetera Advisors LLC Financial Advisor, Donna Hines, Has Four Customer Complaints
- Former Cetera Broker, Jerry Michna, Has Pending Customer Complaint Regarding The Sale Of Oil & Gas Investments
- Category: Cetera Investment Services
- Category: Charles Schwab & Co.
- Category: Chelsea Financial Services
- Category: Chesapeake Energy Corp
- Category: Coastal Equities
- Wolper Law Firm Files Arbitration Against Coastal Equities And Luke Johnson Over Sales Of GPB Capital Holdings And Other Speculative Securities, Alleging $1 Million In Damages
- Former Coastal Equities, Inc. Financial Advisor, Dudley Stephens, Has Four Customer Complaints, Including One Pending Complaint Alleging Damages Of $500,000 For Unauthorized Trading
- INVESTOR UPDATE: Coastal Equities Financial Advisor, Sam Aziz, Under FINRA Investigation For, Among Other Things, Alleged Suitability Violations And Excessive Trading
- Coastal Equities Financial Advisor, Robert Mehlin, Jr., Has Three Customer Complaints, Alleging Sales Practice Violations
- Coastal Equities Financial Advisor, Sam Aziz, Under FINRA Investigation For, Among Other Things, Alleged Suitability Violations And Excessive Trading
- Category: Commonwealth Financial Network
- Category: Comprehensive Asset Management
- Category: Concorde Investment Services
- Category: Corecap Investments Inc
- Category: Country Capital Management Company
- Category: CP Capital Securities
- Category: Credit Suisse
- Category: Crown Capital Securities
- Former Mutual Service Corp. Financial Advisor Frederick Atiyeh Has Four Customer Complaints Alleging Investment Loss
- Crown Capital Securities Broker, Kenneth Barroga, Has Had Four Customer Complaint Disclosures
- Crown Capital Securities Broker, Dennis Haywood, Has Had Three Customer Complaint Disclosures Since April 2020
- Did You Purchase GPB Capital Holdings From Kalos Capital Financial Advisor, Kristian Finfrock?
- Did You Buy Shares Of GPB Capital Holdings Through Coastal Equities Or Kevin Canterbury?
- INVESTOR ALERT—Crown Capital Securities Financial Advisor, Lanny Howarter, Has A Pending Customer Complaint For $499,000
- INVESTOR ALERT—Did Crown Capital Securities Financial Advisor, William Benjamin Dusenbury Heritage, Recommend That You Invest In Non-Traded REITs
- Category: Crystal Bay Securities
- Category: CUSO Financial Services
- Category: CV Brokerage
- Category: D.A. Davidson
- Category: D.H. Hill Securities
- Category: Dakota Securities
- Category: Daniel Investment Management
- Category: David A Noyes & Co.
- Former David A. Noyes & Company Broker, Stuart Pearl, Has Five Customer Complaint Disclosures, Including A Pending Complaint Alleging Damages Of $2 Million
- Former David A. Noyes Broker, Scott L Reed, Has Had Nine Customer Complaint Disclosures Since May 2017
- Former David A. Noyes Financial Adviser, James Kirchner, Has Had Seven Customer Complaint Disclosures During His Career, Including Five Since 2018
- David A. Noyes & Company Financial Advisor, Luigi Mancusi, Has Six Customer Complaint Disclosures On His BrokerCheck Report
- There AreRecovery Options For Investors Of Indianapolis Based SteadyServ Technologies, Inc.
- Did You Purchase Structured CDs Through Financial Advisor, Jeannette Adcock?
- Category: David Lerner Associates
- Former David Lerner Broker, Charles Bonilla, Sanctioned By FINRA For Alleged Improper Sales Of David Lerner’s Energy Sector Securities
- Did You Purchase Energy 11, Energy 12 Or Spirit of America Energy Fund (SOAEX) Through David Lerner Broker, Glenn Werner
- Did You Purchase Energy 11, Energy 12 Or Spirit of America Energy Fund (SOAEX) Through David Lerner Broker, Michael Norton
- Did You Purchase Energy 11, Energy 12 Or Spirit of America Energy Fund (SOAEX) Through David Lerner Broker, Daniel Lerner
- Did You Purchase Energy 11, Energy 12 Or Spirit of America Energy Fund (SOAEX) Through David Lerner Broker, Rafael Klein
- Did You Purchase Energy 11, Energy 12 Or Spirit of America Energy Fund (SOAEX) Through David Lerner Broker, Francisco Cabral
- Wolper Law Firm Is Investigating David Lerner Associates Regarding Its Sale Of Energy L.P., Energy Resources 12, L.P., And The Spirit Of America Fund
- David Lerner Broker, Scott Mass, Has $500,000 Pending Customer Complaint Regarding The Sale Of Puerto Rico Bonds
- Category: Dawson James Securities
- Category: Dempsey Lord Smith
- Category: Despain Financial Corp
- Category: Dinosaur Financial Group
- Category: DMK Advisor Group
- Category: Dominion Portfolio Management Inc.
- Category: Edward Jones
- Category: Emerson Equity LLC
- Category: Equitable Advisors
- Category: Essex Capital Corp.
- Category: Fairport Capital
- Category: Farmers Financial
- Category: Felti & Co.
- Category: Fifth Third Securities
- Category: Financial American Securities
- Category: Financial Industry Regulatory Authority
- Category: Financial Vision Companies
- Category: Financial West Group
- Category: First Allied Securities
- Category: First American Securities
- Category: First Financial Equity Corp.
- Category: First Republic Securities
- Category: First Standard Financial Company
- First Standard Financial Broker, Frank Venturelli, Suspended Eleven Months By FINRA For Allegedly Engaging In Excessive Trading
- Former National Securities Corp. And First Standard Financial Company Broker, Andre Pierre Davis, Barred By FINRA
- Former First Standard Financial Broker, Robert Spiegel, Suspended Four Months By FINRA Over Allegations Of Excessive Trading
- Former First Standard Financial Company Financial Advisor, Andre P. Davis, Has Fourteen Customer Complaints Alleging Various Sales Practice Misconduct
- Former First Standard Financial Advisor, Debra Bourne, Has Five Customer Complaints, Alleging Unsuitable Investment Recommendations and Excessive Trading
- Barred Financial Advisor, Gabriel Block, Has Twelve Customer Complaints, Including Three Pending Complaints, Alleging Sales Practice Violations
- First Standard Financial Broker, Philip Sparacino, Has Pending Customer Complaint, Alleging Churning And Unauthorized Trading
- INVESTOR UPDATE: Former First Standard Financial Co. Financial Advisor, James Bradley Schwartz, Barred By FINRA
- Financial Advisor, Roy Failla, Has Pending Customer Complaint For Unauthorized Trading And Unsuitable Investment Recommendations
- Category: FMN Capital Corp.
- Category: Fordham Financial Management
- Category: Forest Securities
- Category: Foresters Equity Services
- Category: Forrest Securities
- Category: Fortune Financial
- Category: Founders Financial Securities LLC
- Category: Four Points Capital Partners
- Category: FSC Securities Corp
- Category: FSG Advisors
- Category: Fusion Analytics Investment Partners
- Category: Garden Street Securities
- Category: Geneos Wealth Management
- Category: General Securities Corp
- Category: GMS Group
- Category: Goldman Sachs
- Category: GPB Capital Holdings
- Category: Granger Management
- Category: Great American Investors
- Category: Great Point Capital Financial Advisor
- Category: Green Vista Capital
- Category: GWG Holdings
- Category: GWN Securities
- Category: H. Beck Inc
- Category: Halloway & Associates
- Category: Harbour Investments
- Category: Hazard & Siegel
- Category: HD Vest Investment Services
- Category: Healthcare Trust REIT
- Category: Henley & Co
- Category: Hennion and Walsh
- Category: Herbert J Sims & Co
- Category: Hilliard Lyons
- Category: Hilltop Securities
- Category: Hornbeck Offshore
- Category: Hornor Townsend & Kent
- Category: Hospitality Investors Trust Inc
- Category: Huntington Investment Company
- Category: Huntington Investment Company
- Category: Huntleigh Securities Corp
- Category: IBN Financial Services
- Category: ICON Fund
- Category: IFS Securities
- Category: Independent Financial Group
- Independent Financial Group Financial Advisor Jerry Tuma Has Five Disclosed Customer Complaints
- Independent Financial Group Financial Advisor Donovan Kelly Suspended By FINRA
- Independent Financial Group, LLC Broker, Brett Hartvigson, Has Had Four Customer Complaint Disclosures Alleging Sales Practice Misconduct
- Independent Financial Group Broker, Tatyana Bunich, Has Had Two Customer Complaint Disclosures Since June 2020
- Independent Financial Group Broker, Kenneth Guerra, Has A Pending Customer Complaint Involving The Sale Of Alternative Investments
- Independent Financial Group Broker, Shimshon Plotkin, Has Seven Customer Complaint Disclosures, Alleging Sales Practice Violations
- Financial Advisor, Wenjinn Chang, Has Had Two Customer Complaints In 2018 Alleging Sales Practice Violations
- Financial Advisor, Robert Jamison II, Barred By FINRA For Allegedly Referring Customers To An Unregistered Person In Order To Make Investments
- Category: Infinex Investments
- Category: Insight Securities Inc
- Category: Insigneo Securities
- Category: Integrity Brokerage LLC
- Category: International Assets Advisory
- Former WFG Investments, Inc. Broker, Damian Bell, Has Had Ten Customer Complaint Disclosures Alleging Sales Practice Misconduct
- International Assets Advisory Financial Advisor, James Bashaw, Santioned By FINRA
- Financial Advisor, Bruce Plyer, Barred By FINRA After Failing To Cooperate In An Investigation Into His Alleged Excessive Trading In Customer Accounts
- Michael Spolar, A Former Financial Advisors At LPL Financial, LLC And International Assets Advisory, LLC, Has Recently Been Suspended By FINRA And Has Two Pending Customer Complaints Due To Alleged Improper Investment Activities
- Category: INTL FC Stone
- Category: Invest Financial Corp
- Category: Investment Planners
- Category: Investor Education
- Wandering Financial Advisors
- Investment Loss Recovery Focus: Hedge Funds
- Common Types of Alternative Investments
- The New Regulation Best Interest Standard: How Does It Compare to the Fiduciary Standard?
- Learn How Due Diligence Regulations Protect Investors Seeking Private Placement Transactions
- FINRA Reports That Margin Levels in Customer Accounts Have Reached All-Time Highs of More Than $722 Billion
- How to Stop Stock Loss Caused by Your Broker-Dealer
- Top 3 Reasons to Check Your Stockbroker
- What Is Time and Price Discretion?
- Why You Need to Check Your Broker’s CRD
- How to Recognize Signs of Stockbroker Misconduct
- Recovering Illiquid Alternative Investment Losses after the Coronavirus Market Crash
- Caught By Surprise Or Poor Planning?—Recovering Investment Losses From The Recent Stock Market Crash
- Stockbroker Scams to Watch Out For
- Securities-Backed Lending: What Are the Risks?
- How to File a Complaint against a Stockbroker
- INVESTOR ALERT—Ten Of The Worst Performing Mutual Funds Of 2018
- Category: Alternative Investments
- Category: Annuities
- Variable Annuities Come At A High Cost To Investors
- FINRA Sanctioned Lincoln Advisors Over Excessive Annuity Transactions
- Summit Brokerage Services Financial Advisor, John Raleigh, Has Pending Customer Complaint Alleging Unsuitable Annuity Recommendations
- Current Summit Brokerage Services Financial Advisor, Linda Zara, Was Terminated By Wells Fargo For Taking A Loan From A Client
- INVESTOR ALERT—Centaurus Financial Broker, Ralph Quintana, Has Pending Customer Complaint For Allegedly Failing To Disclose Material Facts Regarding An Investment
- Wolper Law Firm Is Investigating Claims Against Financial Advisor, Xavier Patino
- Lincoln Financial Advisors’ Representative, Philip Moshier, Has A Pending Customer Complaint, Alleging Damages Of $186,000
- Investor Warning—Did You Buy An Annuity From Former SunTrust Investment Services Financial Advisor, Matthew Morris
- Category: Annuity
- Category: Arbitration
- Category: Breach of Fiduciary Duty
- Newbridge Financial Advisor, Dana Davis, Has Eight Customer Complaints, Including Two Pending Complaints
- Former Investors Capital And Cetera Financial Advisor, Nina Jessee, Terminated For Not Disclosing Outside Business Activities, And Now The Subject Of Ten Customer Complaints
- Woodbury Financial Services Broker, John Maloney, Has Two Pending Customer Complaints Based on Unsuitable Investment Recommendations
- Financial Advisor, Jim Rhodes, Of Rhodes Securities, Has Pending Customer Complaint
- INVESTOR ALERT—Centaurus Broker William (“Bill”) Burks Has Pending Customer Complaint Alleging Damages Of $415,000
- Former Morgan Stanely Financial Advisor Michael Fitz-Gerald Has Multiple Customer Complaints
- INVESTOR WARNING–Financial Advisor Robert Tweed a/k/a Rusty Tweed Has An Eye Popping Eleven Customer Complaints
- Mitchell Yanow Barred By FINRA After Allegedly Stealing Money From An 87 Year Old Customer
- Former Stifel Nicolaus Financial Advisor, Jon Schmidhammer, Barred By The Securities Exchange Commission (SEC) For Fraud And Criminal Conduct
- Former First Standard Financial Co. Financial Advisor, Marc Reda, Has 10 Customer Complaints
- First Standard Financial Co. Financial Advisor, William Gennity, Has 7 Customer Complaints And A Pending Regulatory Investigation
- First Standard Financial Co. Financial Advisor, Levert Caldwell, Has Three Customer Complaints Since 2014
- First Standard Financial Co. Financial Advisor, Roy Failla, Subject To A Customer Complaint Alleging Damages Of $1.5MM
- What Are The Common Signs Of Investment Fraud, Negligence Or Other Misconduct?
- Financial Advisor Stephen Williams Has 7 Customer Complaints And One Regulatory Event
- Financial Advisor Richard Wesselt Has Been The Subject Of Nine Customer Complaints Since 2007
- INVESTOR WARNING—Steven Pagartanis Charged By SEC With $8 Million Fraud
- Lawrence Torres Censured By The SEC And Fined $160,000 And Ordered To Disgorge $225,359
- INVESTOR ALERT—Financial Advisor Steven Knuttila Barred By FINRA After Numerous Sales Practices Complaints
- INVESTOR WARNING—Financial Advisor Oscar Francis Terminated By MML Investors Services Following Department Of Justice Investigation And Several Customer Complaints
- WARNING TO INVESTORS—Douglas Leone Was Barred By FINRA And Has Been The Subject Of Numerous Customer Complaints
- Category: Broker Discipline
- INVESTOR UPDATE—Terminated Financial Advisor, Mitchell Kurtz, Sanctioned By FINRA For Selling Away
- Wells Fargo Financial Advisor, Ronald Blasczyk, Is The Subject Of A FINRA Enforcement Action
- Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation
- Former Raymond James Financial Advisor, Stephen Murray, Barred By FINRA
- FINRA Barred Broker, John Angelone, For Allegedly Selling Unregistered Securities
- Morgan Stanley Financial Advisor, John Halsey Buck III, Terminated For Failing To Disclose Private Securities Transactions And Now Has Also Been Sanctioned By FINRA
- Financial Advisor, Wilfred Rodriguez, Barred By FINRA For Failing To Cooperate With A FINRA Investigation
- Former FSG Advisors Broker, Michael Bressman, Terminated By FSG And Now The Subject Of An SEC Action For Fraudulent Charry Picking Scheme
- Moors & Cabot Terminated Robert Clark For Allegedly Taking A Loan From A Customer
- Financial Advisor, Jeffrey Sigman, Barred By FINRA After Being Terminated By First Financial Equity Corp.
- FINRA Filed An Enforcement Proceeding Against Lombard Securities Corp. Broker, John Cutshall, For Allegedly Misappropriating Funds Held In Accounts In Which He Was A Trustee
- Former Morgan Stanley Financial Advisor, Lloyd Layton, Sanctioned By FINRA For The Improper Sales Of Unit Investment Trusts (UITs)
- INVESTOR ALERT—Complaints Continue To Roll In Against former UBS Broker, John Maccoll, Who Was Barred By FINRA
- INVESTOR WARNING—Sanders Spangler Barred By FINRA For Failing To Respond To Allegations That He Engaged In Alleged Unauthorized Trading
- Suhail Khan, Previously Barred By FINRA, Is The Subject Of A Customer Complaint For Allegedly Selling Away
- Kimberly Pine Kitts, Previously Barred By FINRA, Now The Subject Of An SEC Complaint
- FRAUD ALERT—The Wolper Law Firm Is Investigating Claims Against Strong Investment Management And Its CEO, Joseph Bronson
- SEC Files Action Against James Unger For, Among Other Things, Misappropriating Assets
- Steven Coffey Barred By FINRA After Investigation Is Launched Into His Sales Practices
- Paul Soll Barred By FINRA After Investigation Is Launched Into Alleged Churning And Unsuitable Investment Recommendations
- Former Sisk Investment Services Financial Advisor, Matthew Eckstein, Sanctioned Twice By FINRA
- TFS Securities, Inc. Financial Advisor William Greenfield Sanctioned By The Securities Exchange Commission For Violation Of The Investment Advisers Act
- O.N. Equity Sales Co. Financial Advisor Brian Eyster Sanctioned By The Securities Exchange Commission For Violation Of The Investment Advisers Act
- First Standard Financial Co. Financial Advisor, Rocco Roveccio, Has Two Pending Complaints, Five Total Complaints And A Regulatory Investigation
- INVESTOR WARNING! Dakota Securities Financial Advisor, Thomas Beattie, Has Two Pending Customer Complaints And 3 Prior Regulatory Infractions
- Financial Advisor Wills Henriquez Suspended By FINRA For 45 Days For Taking Discretion In Customer Accounts
- Wells Fargo Discharged Financial Advisor Earle Tingley For Allegedly Taking A Loan From A Client
- INVESTOR WARNING—Andrew Jay Lowe Sanctioned By FINRA For Sales Practice Violations And Was Discharged By His Employing Brokerage Firm Berthel Fisher & Company Financial Services, Inc.
- INVESTOR WARNING–Financial Advisor Brad Lawing Has Been The Subject Of Eleven Customer Complaints Since 2011
- INVESTOR WARNING–Financial Advisor Alvery Bartlett Has Had Three Customer Complaints Since 2015
- Have You Lost Money Investing With Michael Mathias At Summit Brokerage Services In Mt. Kisco, NY?
- Sean Alan Brady, A Former Financial Advisor At First Allied Securities In St. Louis, Was Barred By FINRA
- Category: Can I Sue My Financial Advisor
- Category: Conservation Easement
- Category: Cryptocurrency
- Category: Distressed Securities
- Category: Document Forgery
- Category: Excessive Trading/Churning
- Churning and Excessive Trading Erode the Profitability of an Investment Account
- Financial Advisor, Michael Dennis Jackson, Suspended By FINRA For Six Months For Allegedly Exercising Discretion In A Customer Account Away From Her Brokerage Firm
- Former Newbridge And Financial West Group Financial Advisor, Sean Waters, Barred By FINRA For Excessive Trading In The Account Of A Senior Investor
- Financial Advisor, John Simoncic, Barred By FINRA For Alleged Excessive Trading
- Former Raymond James Broker, Taek Chong, Barred By FINRA After Failing To Cooperate In An Investigation Regarding Commissions He Charged For Institutional Trades
- Western International Securities Broker, Kenneth McDonald, Is The Subject Of A Complaint For $834,000 Based On Misrepresentation And Unsuitability
- Maxim Group Just Settled A Complaint For $200,000 Based On Alleged Misconduct Of Broker, Michael Solomon
- SW Financial Broker, Stephen Sullivan, Has Pending Customer Complaint For “Unsuitable Transactions, Excessive Trading And Failure To Supervise”
- INVESTOR ALERT—Worden Capital Management Broker, Michael Rosalia, Has Long History Of Customer Complaints And Liens
- Category: Exchange Trade Funds
- Category: Expungement
- Category: Failure to Supervise
- Category: FINRA
- Category: FMS Bonds
- Category: Forgery
- Category: Fraud
- Category: Future Income Payments
- Category: How Do I Sue My Financial Advisor
- Category: Junk Bonds
- Category: Misappropriation
- Category: Misrepresentation
- Former RBC Capital Markets Financial Advisor Paul Koch Barred by FINRA
- MONEY Concepts Broker, Ray Reece, Has Five Customer Complaints, Including Three Since 2015
- Summit Brokerage Services Financial Advisor, Scott Kaup, Has Pending Customer Complaint, Alleging $2.6 Million In Damages
- Summit Brokerage Services Financial Advisor, Joel Kamphuis, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments
- Financial Advisor, Peter Bitterman, Has Securities License Revoked By Wisconsin Division Of Securities
- Category: Mutual Funds
- Category: Negligence
- Category: Overconcentration
- Category: Ponzi Scheme
- Category: Promissory Notes
- Category: Sanction
- Category: Selling Away
- Category: Structured Products
- Category: Theft
- Category: Unauthorized Trading
- Category: Unregistered Securities
- Category: Unsuitability
- Category: Unsuitable
- Category: Investors Capital Corp
- Category: Janney Montgomery Scott
- Former Janney Montgomery Scott Broker, Charles Euler, Jr., Barred By FINRA For Failing To Cooperate With Investigation Regarding Unsuitable Investment Recommendations
- Former Janney Montgomery Scott Financial Advisor, John Joseph Cahill, Barred By FINRA For Refusing To Cooperate In FINRA Investigation Into Allegations That He Commingled And/Or Converted Funds Of An Elderly Customer
- Customer Sues Janney Montgomery Scott Financial Advisor Steven Eric Dolgin Alleging Unsuitable Recommendations, Misrepresentations and Unauthorized Trading
- INVESTOR WARNING—Former Janney Montgomery Broker, Scott William Palmer, Barred From Industry By FINRA
- INVESTOR ALERT—Janney Montgomery Broker, Christopher Sinkula, Has Ten Customer Complaints, Including Two Pending Complaints
- Category: John W. Loofbourrow
- Category: Joseph Gunnar & Co
- Category: Joseph Stone Capital
- Category: JP Morgan Securities
- J.P. Morgan Terminated Robert A. Douglass for Alleged Unauthorized Trading
- J.P. Morgan Discharged Edward Turley For Alleged “Loss of Confidence”
- Complaint Alleges Unsuitability and Discretion without Authorization Against Former J.P. Morgan Securities Financial Advisor Steven Foote
- Previously Registered J. P. Morgan Securities Broker/Investment Advisor Trevor Rahn Suspended for Violations Including Unsuitability and Excessive Trading
- Former J.P. Morgan Securities Investment Advisor Jasmit Singh Suspended for Selling Away
- Former J.P. Morgan Securities LLC Financial Advisor, Paul Zakhary, Suspended and Fined By FINRA Over Suitability Rule Violations
- Former JP Morgan Broker, Eric Silvestre, Has Pending Customer Complaint For Unauthorized Trading, Alleging Damages Of $2 Million
- Former JP Morgan Securities Broker, Robert Pachciarz, Suspended and Fined By FINRA For Allegedly Engaging In Unapproved Private Securities Transaction
- Former JP Morgan Securities Broker, Trevor Rahn, Was Terminated By JP Morgan And Has Four Reported Sales Practice Customer Complaints
- Former JP Morgan Financial Advisor, Daniel Soliman, Barred By FINRA For Failing To Participate In Investigation Of Trading Activity In Customer Accounts
- JP Morgan Securities Financial Advisor Jeffrey Mcaleney Has Ten Customer Complaints
- Leona Lynn Parsons Discharged From JP Morgan Chase Securities And Barred From Associating With Any FINRA Brokerage Firm
- Category: JP Turner & Co.
- Category: JW Cole FInancial
- Category: Kalos Capital
- Category: Kestra Investment Services
- Stockbroker Chadwick Collins Has Five Customer Complaints
- Former Kestra Investment Services, LLC Broker, Herman Khan, Has Six Customer Complaint Disclosures, Including A Pending Complaint, Alleging Sales Practice Misconduct
- Kestra Investment Services, LLC, Jerry Korchak, Was The Subject of a Customer Complaint Disclosure in May 2020
- Former Kestra Investment Services Financial Advisor, Donald Padilla, Suspended By FINRA For Five Months
- Former Kestra Investment Services Broker, James Daughtry, Barred By FINRA, After Allegations Of Fraudulent And Unauthorized Transactions Entered In Customer Accounts
- Former Kestra Investment Services Financial Advisor, Michael Lee, Suspended By FINRA For One Year
- Former Kestra Investment Services Financial Advisor, John Spach, Barred From The Industry By FINRA
- Kestra Investment Services Financial Advisor, Mitchell Walk, Has Five Customer Complaints, Including Two Which Are Pending
- Category: Kingsbury Capital
- Category: Kingswood Capital Partners
- Category: Kovack Securities
- Category: Laidlaw & Co.
- Category: Landolt Securities
- Category: Lebenthal Financial Services
- Category: Legacy Financial Services
- Category: Legend Equities Corporation
- Category: Liberty Partners Financial Services
- Category: Lighthouse Capital Group
- Category: Lightstone Real Estate Income Trust Inc
- Category: Lincoln Douglas Investments
- Category: Lincoln Financial Advisors
- Category: Lincoln Financial Securities Corp
- Category: Lincoln Investment Planning
- Category: Lion Street Financial
- Category: LJM Preservation Fund
- Category: Lombard Securities Corp
- Category: LPL Financial
- Former LPL Financial Advisor Kevin McCallum Has Eight Customer Complaints
- $3.2 Million Complaint Filed Against Former LPL Financial Advisor Michael Barranco
- FINRA Suspended LPL Financial Advisor Michael Mandel
- Former LPL Financial Broker Howell Ferguson Suspended by FINRA
- LPL Financial Terminated Scott Bremus for Allegedly Selling Away
- Former LPL Financial Advisor Lee Nordstrom Barred by FINRA After Allegations of Unsuitability and Excessive Trading
- Former LPL Financial Advisor Eric Hollifield Barred by FINRA After Non-Cooperation Into Allegations of Unsuitability
- Previously Registered Financial Advisor Nicholas Travascio III Has Four Customer Complaints
- Former SII Investments and LPL Financial Broker Paul McGonigle Barred by FINRA After Refusing to Respond to Requests for Information
- Former LPL Financial and Wells Fargo Financial Advisor Mario Rivero, Jr. Barred by FINRA After Refusing to Participate in an Investigation of Alleged Violations
- Rhett Bedwell, Previously Registered Financial Advisor at LPL Financial, LLC, Indefinitely Barred by FINRA for Refusing to Cooperate in an Investigation Regarding A Ponzi Scheme
- Rhett Bedwell, Former Investment Advisor at LPL Financial, LLC, Indefinitely Barred by FINRA for Refusing to Provide Information Requested as Part of an Investigation
- Former LPL Financial, LLC Investment Advisor James Couture Barred After Allegations He Altered Customer Account Balances and Distributions
- Former LPL Financial LLC General Securities Representative Arthur Obermeier Suspended and Fined for Improperly Exercising Discretion Without Proper Authorization
- Former LPL Financial LLC Broker, Maziar Monshi, Has Had Three Customer Complaint Disclosures Alleging Sales Practice Misconduct
- Former LPL Financial Broker, Michael Tavel, Suspended by FINRA for 18 Months After Allegedly Participating in Private Securities Transactions Away from His Member Firm
- LPL Financial LLC Broker, David Taddeo, Has Had Five Customer Complaint Disclosures
- Former LPL Financial LLC Broker, Kevin Fretz, Has Six Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Former LPL Financial and Private Advisor Group Broker, Norman Batansky, Supsended by FINRA For Thirty Days And Fined $7,500 For Allegedly Participating in Private Securities Transactions
- LPL Financial LLC Broker, Matthew Clason, Is The Subject Of An SEC Enforcement Action For Allegedly Stealing Hundreds Of Thousands Of Dollars From A Client
- Former LPL Financial LLC Broker, James Rapisarda, Suspended Fifteen Days By FINRA For Allegeding Recommending Unsuitable Private Placement Securities
- LPL Financial LLC Broker, Samuel Izaguirre, Has Had Three Customer Complaint Disclosures
- Cecil Ross
- Former National Planning Corp. And LPL Financial Broker, Michael Severance, Barred By FINRA
- Former LPL Financial Advisor, Louis Mark Miller, Barred By FINRA After Failing To Comply With A FINRA Investigation Into Allegedly Exercising Discretion Without Prior Authorization
- Wolper Law Firm Files An Arbitration Claim Against Securities Service Network And LPL Financial Based On The Sale Of An Overconcentrated Portfolio Of REIT Investments By Financial Advisor Adam Lunceford
- Former LPL Financial Broker, Christopher Neil Watkins a/k/a Neil Watkins, Terminated By LPL For Allegedly Sharing Advisory Fees With An Unregistered Person
- Former LPL Financial Broker, Jeffrey Vasiloff, Suspended By FINRA For Alleged Unauthorized Trading
- Former LPL Financial Broker, Kerry Hoffman Sued By SEC For Selling $3.3 Million In Unregistered Securities In GT Media, Inc.
- Former LPL Financial And International Asset Advisory Broker, Michael Spolar, Suspended By FINRA For Fifteen Months
- Former LPL Financial Advisor, James Booth, Terminated by LPL And Barred By FINRA For Converting Approximately $1,000,000 Of Client Funds For His Personal Use
- Former LPL Financial Advisor, Philip Nalesnik, Barred By FINRA
- Former LPL Financial LLC Financial Advisor, James Bylenga, Barred From The Industry By FINRA
- INVESTOR ALERT: Former LPL Financial Financial Advisor, Scott Klor, Suspended By FINRA For Fourteen Months For Unlawful Sales Practices
- Former LPL Financial Advisor, Cheryl Ann Stallings, Barred By FINRA For Allegedly Converting Her Clients’ Money For Personal Use
- Former LPL Financial And Thurston Springer Financial Broker, Donald Woods, Has Had Eleven Customer Complaints Filed Against Him Since 2016
- Former LPL Financial Advisor, Steven Crawford, Has $600,000 Customer Complaint For Allegedly Recommending A Variable Universal Insurance Product
- Former LPL Financial Broker, Richard Yada, Sanctioned By FINRA For Unauthorized Trading
- LPL Financial Terminated Scott Douglas Williams For “Violation Of Firm Policy Regarding Discretion”
- INVESTOR ALERT—Phillip Boyd Terminated By LPL Financial For Allegedly Selling Away
- Paul Avila Discharged By LPL Financial For Violation Of Firm’s Suitability Policy
- Category: M. Holdings Securities
- Category: Madison Avenue Securities
- Did You Purchase GPB Capital Holdings From Former Madison Avenue Securities Broker, Robert Luley, Jr.?
- Did Former Madison Avenue Securities Broker, Robert Luley Jr., Sell You GPB Capital Holdings?
- Madison Avenue Securities Broker, Jeffrey Dixson, Has Five Disclosed Customer Complaints, Including Two Pending Complaints, Alleging Sales Practice Misconduct.
- Former Center Street Securities Financial Advisor, Satya Shaw, Has Four Customer Complaints And Nine Regulatory Disclosures On His CRD
- Madison Avenue Securities Broker, David Barber, Barred By FINRA For Unauthorized Trading
- Madison Avenue Securities Financial Advisor, James Geake, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments
- Category: Maloney Securities
- Category: Mass Mutual Investor Services
- Category: Maxim Group
- Category: McDonald Partners
- Category: McNally Financial Services
- Category: McNally Financial Services
- Category: Merrill Lynch
- Merrill Lynch Financial Advisor Joshua Nicholas Barred By FINRA
- Joshua Nicholas Barred by FINRA After Allegations of Outside Futures Trading
- Allegations of Selling Away Made Against Broker Todd Mercer
- Former Merrill Lynch Broker, Patrick Brown, Has Disclosed Settlement of $1.2 Million For The Alleged Fraudulent Transfer Of Stocks
- Former Merrill Lynch, Pierce, Fenner & Smith Financial Advisor Peter Eckerline Has Nine Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Former Merrill Lynch Financial Advisor Peter Eckerline Has Nine Customer Complaints Disclosures, Alleging Sales Practice Misconduct
- Merrill Lynch And Two Of Its Brokers, Kelly Feehrer And Scott Matthews, Sanctioned By FINRA For Unit Investment Trust Violations?
- Former Investment Advisor and Broker at Merrill Lynch, Pierce, Fenner & Smith, Inc, Tyler Delahunt, Barred Indefinitely After Failing to Participate in FINRA Investigation After Allegations of Selling Away
- Two Complaints Pending Against Merrill Lynch Financial Advisor Keith Simmons
- Former Merrill Lynch General Securities Representative Ryan Raskin Barred By FINRA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, John Gatto, Has Had Eight Customer Complaint Disclosures Alleging Sales Practice Misconduct
- Former Merrill Lynch, Pierce, Fenner & Smith Broker, Douglas Stopkey, Supsended by FINRA For Thirty Days For Allegedly Engaging In Unauthorized Trading in Senior Customers’ Accounts
- Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, Michael Calvin, Has Had Two Customer Complaint Disclosures Since January 2020
- Merrill Lynch, Pierce, Fenner & Smith Broker, Forrest Jones, Under Investigation By The United States Securities And Exchange Commission
- Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, Keith Simmons, Has Customer Complaint Alleging Damages Of $8 Million
- Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, Glenn Yarbrough, Has Customer Compaint, Alleging Misappropriation of Funds
- Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, Cynthia Perry, Suspended By FINRA For Three Months, For Allegedly Altering Account Documents
- Merrill Lynch Broker, Christopher Roumayeh, Suspended By FINRA For 21 Months For Engaging In Unapproved Outside Business Activities
- Former Merrill Lynch Broker, Jacquin Fink, Has Eleven Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Merrill Lynch Financial Advisor, Heather Weber, Has Ten Customer Complaint Disclosures
- Former Merrill Lynch Financial Advisor, Marcus Boggs, Barred By FINRA After Failing To Cooperate In Investigation
- Former Merrill Lynch Financial Advisor, Ma Rosa Linan Abrego, Barred By FINRA After Failing To Cooperate In Investigation Into Her Alleged Misappropriation Of Client Funds
- Merrill Lynch Financial Advisor, Bernie Adair, Has Eight Customer Complaints Disclosed On His CRD Allegeding Various Sales Practice Violations
- Investors Who Lost Money In The Harvest Volatility Management Strategy Offered Through Merrill Lynch Or Morgan Stanley Have Recovery Options
- Merrill Lynch Financial Advisor, Peter Huffman, Has A Pending $2.7 Million Customer Complaint Alleging Excessive Trading
- Merrill Lynch Financial Advisor, Gregory P. Washington, Has A Pending Customer Complaint Alleging $6.645 Million In Damages For Sales Practice Violations
- Michigan Based Merrill Lynch Financial Advisor, Jeffrey R. Smith Has Eight Customer Complaints, Including Two Pending Complaints, Alleging Sales Practice Misconduct
- FINRA Barred Former Wilbanks Securities Financial Advisor, Larry Crabtree, For Failing To Appear And Provide Testimony In FINRA Investigation
- Merrill Lynch Financial Advisor, Robert Gerstein, Has Four Customer Complaint Disclosures
- Barred Ex-Merrill Lynch Broker, Thomas J. Buck, Pleads Guilty to Securities Fraud And Ordered to Pay the SEC $5 Million
- Financial Advisor, Bhenoy “Ben” Dembla, Barred By FINRA For Entering Fake Mutual Fund Orders
- Merrill Lynch Financial Advisor, Christopher Hellman, Terminated By Merrill Lynch And Sanctioned By FINRA For Allegedly Selling Away
- FINRA Filed An Enforcement Proceeding Against Broker, Michael Ahearn, For Providing False Testimony To FINRA In Connection With An Investigation Into His Sales Practices
- INVESTOR ALERT—Merrill Lynch Broker, Hector Gonzalez, Has Pending Customer Complaints, Totaling $16 Million
- Former Merrill Lynch Financial Advisor, Ethan De Naray, Sanctioned By FINRA For Unsuitable Investment Recommendations
- Former Merrill Lynch Broker, Shaun Hayes, Has Seven Customer Complaints, Principally For Unauthorized Trading
- Shakela Carter Barred From Associating With A Broker Dealer For Failure To Respond To FINRA Subpoena Requesting Information Concerning Her Sales Practices
- Former Merrill Lynch Financial Advisor, John James, Sanctioned By FINRA Following Separation From Merrill Lynch
- Merrill Lynch Financial Advisor, Erik Littlejohn, Is The Subject Of $499,999 Customer Complaint
- Merrill Lynch Terminated Financial Advisor Christopher Hibbard, Who Has Six Pending Customer Complaints
- Merrill Lynch Financial Advisor Charles Kanahan The Subject Of 3 Customer Complaints In 2018
- Merrill Lynch Financial Advisor, Craig Mardany, Subject To Customer Complaint Alleging Damages Of More Than $10 Million
- Category: Millstone Creek LLC
- Category: MML Investors Services
- Category: Moloney Securities Co.
- Category: Money Concepts Capital Financial
- Category: Monmouth Capital Management
- Category: Moors & Cabot
- Category: Mora WM Securities
- Category: Morgan Stanley
- SEC Alleges Former Morgan Stanley Investment Advisor Shawn Good Involved In Ponzi Scheme
- Former Morgan Stanley Financial Advisor Robert David Fined & Suspended by FINRA
- $15 Million Complaint Pending Against Morgan Stanley Financial Advisor Elizabeth Layne
- $15 Million Complaint Pending Against Morgan Stanley Financial Advisor Christopher McCaffrey
- FINRA Barred Jesus Rodriguez For Alleged Theft From Client Accounts
- $15 Million Complaint Filed Against Morgan Stanley Financial Advisor Michael J. Wagner Regarding Options
- Former Morgan Stanley Broker Jesus Rodriguez Barred By FINRA
- Morgan Securities Financial Advisor Edward Turley Has 6 Customer Complaints, Including Complaints for Exercising Discretion Without Authorization and Unsuitability
- Complaint Pending Against Morgan Stanley Financial Advisor Shawn Burke Alleging Unsuitability
- Allegations of Selling Away Pending Against Former Morgan Stanley Broker Henry Chia-How Chang
- Allegations Pending Against Former Morgan Stanley Investment Advisor Henry Chang for Selling Away
- Former Morgan Stanley Investment Advisor Sumitro Pal Alleged to Have Engaged in Selling Away
- Customer Dispute Pending Against Morgan Stanley Broker and Investment Adviser Darryl Cohen for Alleged Misappropriation of Funds
- Morgan Stanley Financial Advisor, Ryan Wroblewski, Has Had Three Customer Complaint Disclosures Since March 2020
- Morgan Stanley Broker, Albert Dishner, Suspended By FINRA For Ten Days For Allegedly Exercising Discretion In Customer Accounts
- Former Morgan Stanley Broker, John Borsellino, Suspended and Fined By FINRA For Allegedly Recommending Unsuitable Securities Transactions
- Former Morgan Stanley Broker, Kevin Gunnip, Barred By FINRA For Refusing To Cooperate In FINRA Investigation Into Unsuitable Trading
- Morgan Stanley Broker, Robert Brinckerhoff, Has Five Customer Complaints and Five Regulatory Matters Disclosed On His CRD
- The SEC Has Filed An Enforcement Action Against Former Morgan Stanley Broker, Michael B. Carter, For Allegedly Stealing $6 Million In Client Assets
- Former Wells Fargo And Morgan Stanley Broker, Herbert Hafen, Barred By FINRA And Sued By The SEC For Allegedly Operating A Fraudulent Investment Scheme
- Morgan Stanely Financial Advisor, Ken Kavanaugh, Suspended By FINRA For Engaging In Undisclosed And Unapproved Outside Business Activities
- Morgan Stanely Financial Advisor, Robert Montes, Recently Barred By FINRA For Refusing To Cooperate In FINRA Investigation In Connection With Alleged Misuse of Elderly Customer’s Assets
- Former Morgan Stanley And LPL Financial Broker, Ron Willoughby, Sanctioned By FINRA For Short-Term Trading Of Unit Investment Trusts (UITs)
- INVESTOR ALERT: Former Morgan Stanley Financial Advisor, Izhar Shefer, Has Ten Customer Complaints
- Former Morgan Stanley Financial Advisor, James Mewhinny, Has Pending Customer Complaint Alleging Unsuitable Closed-End Fund Recommendations
- Morgan Stanley Financial Advisor, Richard Juracka, Sanctioned By FINRA For Alleged Unauthorized Trading
- Morgan Stanley Broker, William Dumchus, Has Two Pending Complaints Alleging The Sale Of Unsuitable Investments
- Morgan Stanley Financial Advisor, Alberto Castaner, Has Seven Customer Complaints, Including Five Pending Complaints Regarding The Sale Of Puerto Rico Bonds
- Barry Connell Barred By FINRA For Failing To Pay Arbitration Award; Currently Has 10 Customer Complaints
- Morgan Stanely Financial Advisor Barry Garapedian The Subject Of 14 Customer Complaints
- Category: MSI Financial Services
- Category: Mutual of Omaha Investor Services
- Category: Mutual Securities
- Category: MVP Real Advisors LLC
- Category: MVP REIT
- Category: National Planning Corp
- Category: National Securities Corp.
- National Securities Corp. Financial Advisor Christopher Bond Suspended By FINRA
- National Securities Corporation Broker Nicholas Kraiko Barred By FINRA
- National Securities Corporation Broker, Christopher Ortiz, Has Had Two Customer Complaint Disclosures Since February 2020
- National Securities Corporation Broker, Shaun Stein, Has Had Five Customer Complaint Disclosures Since April 2012
- Did You Purchase GPB Capital Holdings Or Other Alternative Investments From National Securities Corporation Broker Willard Pugh?
- National Securities Corporation Broker, Rushdi Zalatimo, Has Pending Customer Complaint
- National Securities Corporation Broker, Kevin Dziubela, Has Had Three Customer Complaint Disclosures Since February 2015, Including Two In 2019
- National Securities Corporation Broker, Viqas Akhtar, Has Had Seven Customer Complaints Since December 2011
- National Securities Corp. Broker, Troy Goldberg, Has Had Thirteen Customer Complaint Disclosures, Including Six Since 2019
- National Securities Corp. broker, Nick Son, Has Had Four Customer Complaint Disclosures Since February 2008
- National Securities Corp. Broker, Matthew Fleissner, Has Had Four Customer Complaint Disclosures Since July 2013
- National Securities Corp. Broker, Steven Andrew Jennings, Has Had Two Customer Complaint Disclosures Since February 2020
- National Securities Corp. Broker, Michael Burkhoff, Has Five Disclosed Customer Complaints
- National Securities Corp. Broker, Frank Avallone, Has Four Disclosed Customer Complaints, Alleging Sales Practice Violations
- Recovery Options For Investors Who Were Sold Auto-Callable Structured Notes From National Securities Corp. Broker, Rick Davidson
- National Securities Corp. Broker, Mark Cline, Has Twelve Pending Customer Complaints Alleging Unsuitable Investment Recommendations
- Former National Securities Corp. Broker, Jason Hawke, Has Eight Customer Complaints, Two Employment Terminations And A Regulatory Sanction
- National Securities Corp. Broker, William Braun, Has Seven Disclosed Customer Complaints, Including Five Pending Complaints
- Former National Securities Corp. and Morgan Stanley Broker, Mohamed Yassin, Barred By FINRA
- Former National Securities Corp Broker, Kevin Wilson, Has Eight Customer Complaint Disclosures With Alleged Damages Of Over 5 Million Dollars
- Financial Advisor, Ronald Rothchild, Has Four Customer Complaints, Including One Pending Complaint
- National Securities Corp. Finanical Advisor, Leonard McAbee, Has Six Customer Complaints, Including Two Pending Complaints
- Former National Securities Corp. And Aurora Capital Broker, Kyle Harrington, Barred By FINRA For Converting Client Assets
- $871,256 Customer Complaint Filed Against National Securities Corp. Financial Advisor, Christopher Kane
- Category: NBC Securities Inc
- Category: Network 1 Financial Securities
- Category: Newbridge Securities
- Former Newbridge Securities Broker Marshall Isaacson Has Six Customer Complaints And A Regulatory Sanction
- Newbridge Securities Corporation Broker, Peter Goffin, Has Had Ten Customer Complaint Disclosures During His Career
- Newbridge Securities Financial Advisor, Kerri Jamison, Has Four Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Newbridge Securities Corporation And Director Of Investment Banking, Bruce H. Jordan, Fined By FINRA For Several Alleged Sales Practice Violations In Connection With The Sale Of Structured Products, Non-Traded ETFs And Private Placements
- Former Newbridge Securities Financial Advisor, Tariq Sales, Has A Pending Customer Complaint Alleging Sales Practice Violations
- Newbridge Securities Financial Advisor, Peter Goffin, Has Nine Customer Complaints
- Newbridge Securities Corporation Financial Advisor, Michael Greenfield, Has Six Customer Complaints
- Newbridge Securities Broker, David Fagenson, Has Twelve Customer Complaints Reported On His Disclosure Report
- Newbridge Securities Corp. Financial Advisor, Dana Davis, Has 7 Customer Complaints, Including One Pending Complaint Alleging Fraud And Breach Of Fiduciary Duty
- Can I Sue Newbridge Securities Corporation Or Salomon Whitney Financial To Recover Investment Losses Caused By Dennis Hayes
- Category: NEXT Financial Group
- Category: Noble Capital Markets
- Category: Northstar Financial Services
- Category: Northstar Healthcare Income
- Category: Northwestern Mutual Investment Services, LLC
- Category: NPB Financial Group
- Category: NTB Financial Corp.
- Category: NY Life Securities
- Former NY Life Broker Esmeralda Espinoza Has Insurance Related Customer Complaint
- Kyle Wittgren Barred by FINRA Following An Investigation Regarding Annuity Sales
- NYLIFE Securities Submits to Censure, Restitution, and Review of Supervisory Procedures After Allegations of Unsuitable Mutual Fund Switching Resulting in Investment Loss
- Former NYLife Securities Broker Narith Long Has Five Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Former NYLife Securities Financial Advisor Daniel Jossen Barred By FINRA For Alleged Sales Practice Misconduct
- NY Life Securities Broker, William Humbarger, Has Four Customer Complaint Disclosures Alleging Sales Practice Misconduct
- Former NY Life Securities Broker, Felix Chu, Barred By FINRA After Failing To Cooperate With Investigation
- Former NY Life Securities Broker, William Hite, Suspended Six Months By FINRA For Allegedly Forging Client Signatures
- Former NY Life Securities Broker, Gabriel Hynes, Barred By FINRA For Selling Future Income Payments, LLC To Retail Investors
- Former NY Life Securities Broker, David Kendrick, Suspended By FINRA For 18 Months For Allegedly Engaging In Unapproved Private Securities Transactions
- Former NYLife Securities Financial Advisor, Timothy Millis, Suspended By FINRA For Allegedly Recommending Unsuitable Short-Term Mutual Fund Switches
- NY Life Securities Terminated Financial Advisor, George Shadie, For “Concerns Regarding The Quality Of His Business”
- NY Life Securities Financial Advisor, Ashley Woodard, Has Five Pending Customer Complaints
- Former NY Life Securities Financial Advisor, Judith Johnston, Barred From The Industry By FINRA
- NY Life Securities Broker, Kari Bracy, Allegedly Recommended Future Income Payments (FIP) Investment To Customer
- Embattled Financial Advisor, David Colflesh, Suspended By FINRA For Allegedly Making Unsuitable Investment Recommendations
- Terminated Broker, Partho Ghosh, Now The Subject Of A FINRA Enforcement Proceeding
- Joel Flaningan Terminated By NY Life Securities For Selling Fraudulent Woodbridge Mortgage Investment Fund Promissory Notes
- Category: O.N. Equity Sales
- Category: Oppenheimer & Co.
- Wolper Law Firm, P.A. Files Multiple FINRA Arbitration Claims Against Oppenheimer
- Oppenheimer & Co. Financial Advisor Cesar Hurtado Suspended by FINRA
- Oppenheimer & Co., Inc. Financial Advisor Jeffrey Warren Barred Indefinitely by FINRA After Failing to Participate in Investigation of Firm Policy Violations
- Oppenheimer & Co. Financial Advisor, Ivan Shore, Sanctioned By FINRA For Improper Sales Practices Relating To Unit Investment Trusts
- Former Oppenheimer & CO Inc. Broker, Matthew Platnico, Has Had Three Customer Complaint Disclosures Since February 2019 Alleging Over $1.7 Million In Damages
- Former Oppenheimer And Current RBC Capital Markets Financial Advisor, Frederick Levine, Sanctioned By FINRA For Actively Trading Unit Investment Trusts In Client Accounts?
- Barred Former Oppenheimer Financial Advisor, David Krumrey, Has Six Customer Complaint Disclosures
- Oppenheimer & Co. Broker, Timothy Atyeo, Has Four Customer Complaint Disclosures On His CRD
- Oppenheimer & Co. Sanctioned By FINRA For Improper Sales Practices Relating To Unit Investment Trusts
- Oppenheimer & Co. Financial Advisor, Demos Argyros, Has Five Customer Complaint Disclosures, Including One Pending Complaint
- How Can I Recover My Investment Losses Caused By Recommendations From Paul Deangelo
- Category: OptionSellers.com
- Category: Packerland Brokerage Services
- Category: Palladium Capital Advisors LLC
- Category: park avenue securities
- Category: Parking REIT
- Category: Parkland Securities LLC
- Category: Paulson Investment Company
- Category: Pay to Play Scheme
- Category: Peachcap Securities
- Category: PFS Investments
- Category: PHX Financial
- Category: Pinnacle Plus Financial
- Category: Planmember Securities Corp
- Category: PNC Investments LLC
- Category: portfolio advisors alliance
- Category: Precision Securities
- Category: Presidential Brokerage
- Category: Principal Securities
- Category: Private Client Services
- Category: Private Client Services Group
- Category: Pruco Securities
- Former Pruco Broker Jeffrey Weiner Suspended by FINRA
- Former Pruco Securities Broker, Alexis Cooke, Was Sanctioned By FINRA For Alleged Sales Practice Violations Relative To Annuities
- Former Pruco Securities, LLC And MML Inverstors Services Financial Advisor, Roger Duval, Barred By FINRA For Allegedly Converting Approximately $130,000 From Elderly Customers
- Former Pruco Securities, LLC And MML Inverstors Services Financial Advisor, Roger Duval, Barred By FINRA For Allegedly Converting Approximately $130,000 From Elderly Customers
- Former Pruco Securities Broker, Matthew Muratori, Barred By FINRA, After Failing To Cooperate With Investigation Regarding Conversion Of Funds Belonging To Elderly Client
- Pruco Securities Financial Advisor, Christopher Shaw, Has Three Pending Customer Complaint Disclosures, Alleging Sales Practice Misconduct
- Pruco Securities Financial Advisor, Christopher Shaw, Has Three Customer Complaints, Allegding Damages Of More Than $1 Million
- Pruco Financial Advisor, Michael Arteca, Has Five Customer Complaints, Including One Pending Complaint For Misrepresentation
- Category: Puerto Rico
- Category: Puerto Rico Bonds
- Category: Purshe Kaplan Sterling
- Category: Quest Capital Strategies
- Category: R.F. Lafferty & Co
- Category: R.M. Stark Financial
- Category: Raymond James
- Allegations of Mismanagement Leading to Investment Loss Pending Against Former Raymond James Financial Advisor Guilford Nergard
- Did You Purchase Northstar Financial Services (Bermuda), Ltd. From Former Raymond James And Current Citigroup Financial Advisor, Alberto Valdes
- FINRA Bars Previously Registered Financial Advisor Jeffrey Drost from All Capacities Indefinitely for Lack of Cooperation in Investigation
- Raymond James Financial Advisor, Timothy Bartelt, Has Complaint Alleging Unsuitable Investments And Excessive Trading
- Raymond James & Associates, Inc., Financial Advisor Ricardo Armijo Has Three Customer Complaints for Allegedly Failing to Disclose Fees
- Raymond James Broker, Paul Stetter, Has Had Two Customer Complaint Disclosures Since 2019
- Raymond James Financial Services, Inc. Broker, Vonna Kay Husby, Barred By FINRA For Refusing to Participate In FINRA Investigation Regarding A Bank Account She Allegedly Held With A Customer
- Former Raymond James & Associates, Inc. Broker, Joseph Woitkoski, Suspended By FINRA For Thirty Days For Allegedly Exercising Discretion Without Written Authorization
- Raymond James Discharges Financial Advisor, Douglas Gildenmeister, For Allegations That He Engaged In Unauthorized Trading
- Former Raymond James Advisor, Stuart Nichols, Barred By FINRA After Failing To Comply With A FINRA Investigation Into Allegedly Excessive Trading
- The Wolper Law Firm Files Two More Arbitration Claims Against Raymond James On Behalf Of Customers Who Were Targets Of Former Financial Advisor, Steven Reznick’s, Speculative Investment Strategy
- Former Raymond James Broker, Stefan Pastor, Barred By FINRA For Allegedly Providing False Information To FINRA During Investigation Into Unauthorized Trading
- Raymond James and Steven Reznick Lawsuits: Former Raymond James Financial Advisor Steven Reznick Is The Subject Of Myriad Complaints Regarding His Recommendation Of Pharmaceutical And Biotechnology Stocks
- Former Raymond James Financial Advisor, Eldridge Parks, Barred By FINRA For Refusing To Cooperate In FINRA Investigation In Connection With Alleged Unsuitable Securities Recommendations
- Former Raymond James Broker, Frederick Stow, Barred By FINRA For Allegedly Stealing $1 Million From Elderly Clients
- Former Raymond James Broker, John Wyshak, Has Three Customer Complaints, Including One Pending Complaint
- Former Raymond James Financial Advisor, Gregory Lane, Terminated by Raymond James And Barred By FINRA For Failing To Participate In Investigation Into His Sales Practices
- Raymond James Financial Advisor, Maria Hendershott, Has Four Disclosed Customer Complaints, Including Three Since 2016
- Raymond James Financial Advisor, Joseph Esposito, Has Two Customer Complaints, Alleging Sales Practice Violations
- The Wolper Law Firm Has Filed An Arbitration Against Raymond James, Based On Alleged Sales Practice Misconduct By Financial Advisor, Steven Reznick
- INVESTOR ALERT—Raymond James Discharges Financial Advisor, Robert Sean Howard, For “Concerns” Relating To Sales of UITs
- INVESTOR ALERT—Raymond James Financial Advisor, William Council, Has Three Pending Customer Complaints
- Raymond James Terminated Broker, Robert Clayson, For Alleged Excessive Trading In A Customer Account
- Raymond James Financial Advisor, Maria Hendershott, Has Had Three Customer Complaints Since 2017
- INVESTOR ALERT—Raymond James Discharged Another Financial Advisor, Sherry Baker, For “Concerns” Relating To The Sale Of Unit Investment Trusts?
- INVESTOR ALERT—Raymond James Discharged Financial Advisors, Lynne Faust And Michael Faust, For “Concerns” Relating To The Sale Of Unit Investment Trusts
- INVESTOR ALERT: Financial Advisor, Steve Reznick, Has Nine Customer Complaints, Including Five Pending Complaints
- Raymond James Financial Advisor, George Puliafico, Has a Disclosed Customer Complaint
- Raymond James Financial Advisor, George Puliafico, Has $2 Million Customer Complaint
- Raymond James Discharged Financial Advisor Barry Wold
- Former Raymond James Financial Advisor, James Edward Lyons, Barred From Associating With Any FINRA Brokerage Firm
- Category: RBC Capital Markets
- RBC Capital Markets, LLC Financial Advisor, Brian Wurdeman, Has Seven Customer Complaints
- Customer Dispute Pending Against RBC Capital Markets Financial Advisor Gregory Dudzik for Making Unsuitable Recommendations
- Customer Complaint Alleging Unsuitability Pending Against RBC Capital Markets Investment Advisor Christopher Phillips
- RBC Capital Markets, LLC Broker, Joseph Ljong Chu, Has Had Two Recent Customer Complaint Disclosures Alleging over $2Million In Damages
- RBC Capital Markets, LLC Broker, Joseph Chu, Has Had Three Customer Complaint Disclosures
- Former RBC Capital Markets Broker, Barry Hartwyk, Suspended By FINRA For 15 Days For Allegedly Exercising Discretion In Client Accounts
- Former RBC Capital Markets Broker, Paul Gershon, Suspended And Fined By FINRA For Allegedly Exercising Discretionary Trading Authority In Several Customer Accounts Without Written Authorization
- Former RBC Financial Advisor, Thomas Lee Johnson, Is The Subject Of A FINRA Enforcement Action
- RBC Terminated Financial Advisor, Barry Hartwyk, For Allegedly Taking Time And Price Discretion And Front Running
- Cheryl George Sanctioned By FINRA For Sales Practice Violations
- Category: Reid & Rudiger
- Reid and Rudiger Financial Advisor, Clifford Reid, Has Seven Customer Complaints, Including Fourt Pending Complaints
- Reid & Rudiger Broker, Edward Rudiger, Jr., Has Six Customer Complaint Disclosures, Including Two Pending Claims Alleging Damages Of $500,000
- Financial Advisor, Elvis Parkes, Has Ten Customer Complaints, Including Two Pending Complaints
- Category: REIT
- Category: Rhodes Securities
- Category: Royal Alliance
- Category: Royal Securities Company
- Category: SA Stone
- Category: Sagepoint Financial, Inc.
- Sagepoint Financial Advisor Cynthia Komarek Barred by FINRA After Refusing Request for Information During Investigation For Making Referrals To Outside Manager
- Sagepoint Financial Advisor, Gary Bowman, Sanctioned By FINRA For Unit Investment Trust Violations?
- SagePoint Financial Advisor Grant Birkley Barred by FINRA After Refusing to Aid Investigation into Allegedly Referring Customers To Outside Asset Manager
- Former Sagepoint Financial, Inc. Broker, Troy Baily, Supsended by FINRA For Six Months and Fined $5,000 For Allegedly Engaging In Unapproved Private Securities Transactions
- Sagepoint Financial Broker, Timothy Vanlohuizen, Has Six Disclosed Customer Complaints Alleging Various Sales Practice Violations
- FINRA Sanctioned Broker, Jerry M. Wells, For Allegedly Misrepresenting Variable Annuities
- Sagepoint Financial Broker, Christopher Bice, Has Four Customer Complaints, Including Two Pending Complaints, Alleging Sales Practice Violations
- Category: Salomon Whitney Financial
- Category: Sandlapper Securities
- Category: Santander bond funds
- Category: Santander Closed-End Funds
- Category: Santander Securities
- Category: Savannah Preserve LLC
- Category: SCF Securities
- Category: Securities America
- Category: Securities Arbitration
- Category: Securities Service Network
- Category: Sigma Financial Corp
- Category: Signator Investors
- Category: Signature Investors
- Category: Signature Securities
- Category: SII Investments
- Category: Sisk Investment Services
- Category: Snowden Account Services
- Category: SoftBank Group Corp
- Category: Southeast Investments
- Category: SP Investco Holdings LLC
- Category: Spartan Capital
- Former Spartan Capital Securities Broker Phillip Marchese Suspended by FINRA
- Spartan Capital Securities Broker Christopher Orlando Barred by FINRA After Allegations of Unsuitability and Churning in Customer Accounts
- FINRA Has Brought An Enforcement Action Against Spartan Capital Broker, James Flower, For Excessive Trading
- Spartan Capital Securities Broker, Albert Foronda, Sanctioned By FINRA For Allegedly Effecting Unauthorized Transactions In Customer Accounts
- Financial Advisor, Albert Foronda, Receives A Wells Notice From FINRA, Recommending Disciplinary Action
- Spartan Capital Securities Financial Advisor, Nicholas J. Schiano, Has Two Customer Complaints Alleging Sales Practice Misconduct
- Brokers Emil Botvinnik And Jovannie Aquino, Both Barred By FINRA, Are Now The Subject Of An SEC Enforcement Action For Securities Fraud
- Financial Advisor Michael Resciniti Has 8 Customer Complaints And 3 Regulatory Infractions
- Category: Spencer Edwards Inc
- Category: Spencer-Winston Securities Corp
- Category: Stephen A Kohn & Associates
- Category: Stephens Inc
- Category: Sterne Agee Financial Services
- Category: Stifel Nicolaus & Company
- Former Stifel, Nicolaus Financial Advisor Andrew Elsoffer Suspended After By FINRA
- FINRA Suspends Joel Kichline For Alleged Unauthorized Trading
- Joel Kichline Suspended by FINRA After For Alleged Unauthorized Trading
- Former Stifel, Nicolaus & Company, Inc. Broker Joseph H. Pratt Barred by FINRA for Insider Trading; Customer Complaint Pending
- Former Stifel, Nicolaus Broker, Brian Engstrom, Sanctioned By FINRA Relating To Sales of Unit Investment Trusts (UITs)
- Former Stifel, Ncolaus & Company Broker, Steven Rodemer, Barred By FINRA For Refusing To Cooperate With FINRA In Its Investigation That He Misappropriated Client Funds For Personal Use
- Stifel, Nicolaus & Company Broker, Lawrence Delhagan, Jr., Has Four Disclosed Customer Complaints, Alleging Sales Practice Misconduct
- Stifel Nicolaus Broker, Joel Davidman, Has Disclosed Regulatory Suspensions And Customer Complaints
- Former Stifel Nicolaus & Co. Broker, Andrew Elsoffer, Has Six Customer Complaints, Alleging Sales Practice Violations
- Stifel Nicolaus Financial Advisor, Scott Sanders, Has Pending Complaint, Alleging Breach Of Fiduciary Duty
- INVESTOR WARNING—Chadwick Carrick Has Pending Customer Complaint For Alleged Excessive Trading And Breach Of Fiduciary Duty
- Stifel Nicolaus Financial Advisor, Robert Cleary, The Subject Of A Customer Complaint Alleging Breach Of Fiduciary Duty
- Stifel Nicolaus Financial Advisor, Stephen Hurtuk, Has 7 Customer Complaints, Including 3 Pending Complaints
- Category: Stockcross Financial Services Inc
- Category: Strong Investment Management
- Category: Summit Brokerage Services
- Category: Suntrust Investment Services
- Category: Supreme Alliance LLC
- Category: SW Financial
- Category: Tax Savings Professionals
- Category: Temenos Advisory
- Category: The Leaders Group Inc
- Category: Thrivent Investment Management
- Category: Titan Securities
- Category: Torch Securities
- Category: Townsend & Kent
- Category: Traderight Securities
- Category: Transamerica
- Former Transamerica Financial Advisors Broker Deborah Herrmann Barred by FINRA After Failing to Particpate in Investigation Alleging Selling Away
- Transamerica Financial Advisors Settled Alleged FINRA Rule Violations Relating to Failed Supervision
- Former Transamerica Financial Advisors Investment Advisor Jenny Feng Suspended and Fined for Making Unsuitable Recommendations
- Former Transamerica Financial Advisors Financial Advisor Wenru Liang Suspended and Fined for Making Unsuitable Recommendations
- Did Former Transamerica Financial Advisor, Michael Mackay, Sell You Shares Of REPF Fund I?
- Transamerica Financial Advisor, Michael Lyle, Has Four Customer Complaints
- Did Former Transamerica Broker, Michael Mackay, Now Barred By FINRA, Sell You Shares Of REPF Fund I?
- FRAUD ALERT—Daniel Glick, Formerly With Transamerica Financial Advisors, Inc., Barred By FINRA After Criminal Conviction For Stealing Money From Clients
- Category: Triad Advisors
- Category: Truist Investment Services
- Category: Trustmont Financial Group
- Category: TSP Family Office
- Category: U.S. Bancorp
- Category: UBS Financial Services, Inc.
- UBS Financial Advisor Edward “Ned” Lubell Has Disclosed Five Customer Complaints
- SEC Files Enforcement Action Against German Nino For Alleged $5.8 Million Theft
- UBS Financial Services Broker Ricardo Turlan Suspended by FINRA After Allegations He Exercised Discretion Without Authorization
- Complaint Pending Against UBS Financial Services Investment Advisor Richard “Rick” Whalen Alleging Unsuitability
- ETRACS ETN Investment Loss Recovery
- Investment Loss Recovery Options For Investors In UBS ETRACS Exchange Traded Notes
- Former UBS Capital Financial Advisor, Ricardo Turlan, Has Three Customer Complaints Disclosed On His CRD Alleging Sales Practice Violations
- Fired UBS Financial Advisor, Nicolas Barrios, Barred By FINRA After Investigation Into Whether He Committed Fraud
- INVESTOR UPDATE—Recovery Options For Investors Who Lost Money In The UBS Yield Enhancement Strategy (“YES”)
- FINRA Fines And Suspends UBS Financial Advisor, Richard D. Niemann, For Exercising Discretion In Customer Accounts Without Authorization
- INVESTOR ALERT—Recovery Options For Investors Who Lost Money In The UBS Yield Enhancement Strategy (“YES”)
- Former UBS Financial Services Broker, William Hobby, Has Had Twenty-Three Customer Complaints During His Career
- UBS Broker, Dwight West, Has Pending Customer Complaint, Alleging Unsuitable Recommendations To An Elderly Client
- INVESTOR ALERT—UBS Financial Services Broker, Alex Herrera, Barred By FINRA For Allegedly Selling Away
- UBS Financial Advisor, Samuel Rankin, Has Eight Customer Complaints, Including Two That Are Pending
- Category: UDF REIT
- Category: Uhlmann Price Securities
- Category: UIT
- Category: Union Capital Company
- Category: Unit Investment Trusts
- Category: United Planners Services of America
- Category: USA Financial Securities Corp.
- Category: Valic Financial Advisors
- Category: Valmark Securities
- Category: Van Clemens & Co.
- Category: Vanderbilt Securities LLC
- Category: Variable Universal Insurance
- Category: Variable Universal Policy
- Category: Vastech Securities
- Category: VCS Venture Securities
- Category: Veribest Vesta LLC
- Category: Vision Brokerage Services
- Category: VIX
- Category: VOYA Financial Advisors
- Category: VUL
- Category: W&S Brokerage Services
- Category: Waddell & Reid
- Category: Wavecrest Securities
- Category: Wedbush Securities
- Wedbush Securities Financial Advisor Chadwick Collins Has Five Customer Complaints
- Wedbush Securities Terminated Financial Advisor, Marc Winters, Over Allegations Of Unauthorized Trading
- Wedbush Securities Terminated Financial Advisor Timothy Podell For Allegedly Engaging In “Discretionary Trading In Multiple Accounts Without Discretionary Forms On File”
- Former Wedbush Securities Broker, Michael Steven Sims, Has Four Disclosed Customer Complaints, Including One Pending Complaint
- Wedbush Securities Financial Advisor, Scott Andersen, Has Pending $400,000 Customer Complaint, Alleging Conversion And Fraud
- Former Wedbush Securities Financial Advisor, William Heiden, Suspended By FINRA And Has Fifteen Career Customer Complaint Disclosures
- Former Wedbush Securities Financial Advisor, William Heiden, Is The Subject Of A FINRA Enforcement Action
- Category: Wells Fargo Advisors
- Allegations of Investment Loss And Theft Due to Financial Misconduct Pending Against Barred Former Morgan Stanley Financial Advisor David Kraft
- Former Wells Fargo Financial Advisor James Seijas Barred by FINRA After Allegations He Refused to Participate in Investigation Into Allegations of Misrepresentation Leading to Investment Loss
- SEC Action Pending Against Former Wells Fargo Investment Advisor Kenneth Welsh After Allegations of Unauthorized Transactions Leading to Investment Loss
- Customer Dispute Alleging Misconduct Leading to Investment Loss Pending Against Barred Former Wells Fargo Financial Advisor Paul Vizanko
- Did You Purchase Northstar Financial Services (Bermuda) Ltd. from Current Wells Fargo and Former Suntrust Financial Advisor Raul Benitez?
- Allegations of Selling Away Pending Against Former Wells Fargo Financial Advisor Jeremy Fortner
- Wells Fargo Financial Advisor Tyler Rigsbee Barred After Allegations of Mishandling Customer Accounts
- First Financial Equity Corp. Investment Advisor Scott Wayne Reed Barred by FINRA After Allegations of Selling Away
- Wells Fargo Clearing Services, LLC Broker, Kevin Schaefer, Has Had Six Customer Complaint Disclosures Throughout His Career
- Former Wells Fargo Broker, Kurt Gunter, Suspended By FINRA Relating To Sales of Unit Investment Trusts (UITs)
- Fort Lauderdale Wells Fargo Broker, Jeffrey Eiler, Has Twelve Customer Complaints, Including Ten Since 2015
- Former Wells Fargo Financial Advisor, Elizabeth Guarino, Suspended By FINRA For Alleged Recommendation Of Unsuitable Speculative Securities Transactions
- Former Wells Fargo Financial Advisor, Stephen Klinger, Barred By FINRA After Failing To Comply With Investigation Into Alleged Misappropriation Of Client Funds To Personally Trade Options
- Former Wells Fargo Broker, Leonard Kinsman, Has Five Customer Complaints, Including One Pending Complaint, Alleging Unsuitability And Forgery Of Business Records
- Former Wells Fargo Clearing Services Financial Advisor, Stephen Kelbick, Suspended By FINRA For Sales Practice Violations
- Wolper Law Firm Files Large FINRA Arbitration Arising Out Of The Sale Of Adjustable Rate Structured Notes By Broker, Joseph Andreoli?
- Financial Advisor, Michael Garris, Terminated By Wells Fargo, And Suspended By FINRA For One Year
- Wells Fargo Financial Advisor, Leonard Kinsman, Has Five Customer Complaints Alleging Sales Practice Violations
- INVESTOR ALERT: Former Wells Fargo Financial Advisor, David Strnad, Suspended By FINRA For Eighteen Months For Unlawful Sales Practices
- Wells Fargo Financial Advisor, Allen Wilson, Has Had Four Customer Complaints And Two Regulatory Disclosures
- Wells Fargo Financial Advisor, Bryan Benson, Has Two Customer Complaint Disclosures, Including One Pending Complaint
- INVESTOR ALERT – Wells Fargo Clearing Services Financial Advisor, Bryan Benson, Has Two Customer Complaints
- INVESTOR ALERT—Wells Fargo Financial Advisor, Richard Bernstein, Has Eight Customer Complaints, Including Two Pending Complaints
- Wells Fargo Broker, Bryan Musso, Has Pending Customer Complaint Alleging The Improper Sale Of Oil And Gas Investments
- Former Wells Fargo Broker, Aaron Parthemer, Barred By FINRA For Selling Away
- Wells Fargo Terminated Broker, Earle Tingley, For Taking A Loan From A Client
- Wells Fargo Discharged Financial Advisor Robert Meyers For Allegedly Selling Away
- Category: Western International Securities
- SEC Investigation Pending Against Western International Securities Financial Advisor Thomas Swan
- Peter Steege, Financial Advisor at Western International Securities in Denver, Colorado
- Western International Securities, Inc. Broker, David Bibo, Has Had Four Customer Complaint Disclosures Since May 2019
- Former Western International Securities Broker, Dennis Mehringer, Barred By FINRA
- Financial Advisor, John Rosas Jaramillo, Discharged By Western International Securities For “Selling Away”
- Western International Securities Financial Advisor, Stuart Godin, Has Eight Customer Complaint Disclosures
- Western International Securities Broker, Doron Kochavi, Has Pending Customer Complaint, Alleging $4 Million In Damages
- Former Western International Securities Financial Advisor, Dennis Mehringer, Barred By FINRA After Failing To Comply With A FINRA Investigation Into Alleged Unsuitable Trading And Other Misconduct
- Category: Westminster Financial Securities Inc
- Category: WestPark Capital
- FINRA Regulatory Complaint Filed Against Investment Adviser and Former Westpark Capital, Inc. Broker, Gregory McCloskey, for Making Private Securities Transactions
- Previously Registered Westpark Capital, Inc. Broker, Stephen Sloane, Has Four Customer Complaint Disclosures And Is The Subject of a Pending FINRA Investigation
- Former Park Avenue Securities Broker, Nicholas Palumbo, Permitted To Resign Following Allegations He Failed To Disclose Private Securities Transactions
- Former West Park Capital, Inc. and Laidlaw & Company LTD Broker, Bryan Mazliach, Investigated By FINRA For Alleged Violation Of FINRA Rules
- Former Westpark Capital, Inc. Broker, Hary Datys, Suspended By FINRA For Fifteen Months For Allegedly Failing To Conduct Due Diligence Before Selling Promissory Notes
- Former Westpark Capital And Wynston Hill Capital, LLC Broker, Hector Ramos, Suspended By FINRA For Three Months For Allegedly Recommending Unsuitable Investments
- Former Westpark Capital Broker, Gregory Ricker, Suspended Six Months By FINRA For Allegeding Engaging In Private Securities Transactions
- Westpark Capital Broker, Philip Rosenweig, Has Ten Reported Customer Complaints
- INVESTOR WARNING–Lawrence Fawcett Discharged By Westpark Capital And Sanctioned By FINRA
- Have You Lost Money Investing With A Financial Advisor At Westpark Capital?
- Category: Wieniewitz Financial
- Category: Wilbanks Securities
- Category: Windsor Street Capital
- Category: Woodbridge Mortgage Investment Fund
- Category: Woodbury Financial Services
- Unsuitability Allegations Pending Against Woodbury Financial Financial Advisor Brian Marston
- Former Woodbury Investment Advisor Lisa Brumm Suspended and Fined for Making Unsuitable Recommendations to Investors
- Former Woodbury Financial Services, Inc. Broker, Ronald Hannes, Barred By FINRA For Failing To Cooperate With FINRA Investigation Regarding The Conversion Of Client Assets
- Former Woodbury Financial Services, Inc. Broker, Jodie Lane, Suspended Six Months By FINRA For Allegedly Accepting Gifts And Becoming Beneficiary Of A Client
- Did You Purchase GPB Capital Holdings From Former Independent Financial Group Broker, Daryl Serizawa?
- Woodbury Financial Services Settled Customer Theft Claim Involving Former Broker, Raymond Ferro, For $1.56 Million
- Former Woodbury Financial Services Broker, James G. Kennedy, Barred By FINRA
- Former Woodbury Financial Broker, Daniel Flores, Barred By FINRA
- Category: Woodstock Financial Group
- Category: Worden Capital Management
- Allegations of Churning, Unsuitability and Unauthorized Trading Pending Against former Worden Capital Management Broker Christ Baltas
- Suitability Complaint Pending Against Former Worden Capital Management Broker Matthew Gates
- FINRA Suspends Former Worden Capital Management Broker, David Weisberg, For Allegedly Engaging In Excessive And Unsuitable Trading In The Account Of An Elderly Customer
- The SEC Obtains Final Judgment Against Former Worden Capital Management Broker, Donald Fowler, For Excessive Trading And Churning In Customer Accounts
- Former Worden Capital Management Financial Advisor, Gregory Dean, Barred By FINRA For Sales Practice Violations
- Former SW Financial And Worden Capital Broker, Yousuf Saljooki, Suspended By FINRA For Nine Months
- Worden Capital Management Financial Advisor, Gregory Dean, Has Thirteen Customer Complaints
- Worden Capital Management Financial Advisor, Robert Yasnis, Has Four Customer Complaints, Including One Pending Complaint, Alleging Churning And Unauthorized Trading
- Worden Capital Management Financial Advisor, Stephen Sullivan, Has Pending Customer Complaint, Alleging Churning And Unauthorized Trading
- Worden Capital Management Financial Advisor, Sean McCabe, Has Six Customer Complaints, Alleging Sales Practice Violations
- INVESTOR ALERT – Worden Capital Management Financial Advisor, Richard Reynolds, Has Ten Customer Complaints
- Category: World Capital Brokerage
- Category: World Choice Securities
- Category: World Tree Financial LLC
- Category: Wynston Hill Capital
