fbpx

Tag: Selling Away

Financial Advisor Tonya Smoake (Bhargava Capital) Customer Complaints

Tonya Smoake (CRD#: 4985049) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   She entered the securities industry in 2007 and previously worked for Bhargava Capital; Purshe Kaplan Sterling Investments; and Merrill Lynch, Pierce, Fenner & Smith, Inc.   Allegations Of Conduct Leading To Investment Loss   According to publicly […]

Financial Advisor Michael Conte (Seton Securities Group, Inc.) Customer Complaints

Michael Conte (CRD#: 2646071) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 1996 and previously worked for Seton Securities Group, Inc.; Fusion Analytics Securities, LLC; Redwood Brokerage, LLC; Citigroup Global Markets, Inc.;  Morgan Stanley DW Inc.; Cowen & Co.; Creative Capital Management Corp.; Securities & Investment Planning […]

Financial Advisor Jeremy Fortner (Wells Fargo Clearing Services, LLC) Customer Complaints

Jeremy Fortner (CRD#: 4811478) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2004 and previously worked for Wells Fargo Clearing Services, LLC; J. P. Morgan Securities, LLC; Chase Investment Services Corp.; J. P. Morgan Institutional Investments, Inc.; Chase Investment Services Corp.; T. Rowe Price Investment Services, Inc.; […]

Financial Advisor WIlliam Fochi, Jr. (Cantella & Co., Inc.) Customer Complaints

WIlliam Fochi, Jr. (CRD#: 1773450) is a dually registered Broker and Investment Advisor at Cantella & Co., Inc. in Glastonbury, CT. He entered the securities industry in 1998 and previously worked for Northwestern Mutual Investment Services, LLC; and Robert W. Baird & Co., Inc.   According to publicly available records released by the Financial Industry […]

Financial Advisor Lee Taylor (Purshe Kaplan Sterling Investments) Customer Complaints

Lee Taylor (CRD#: 3045030) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2010 and previously worked for Purshe Kaplan Sterling Investments; Next Financial Group, Inc.; IDS Life Insurance Company; and Ameriprise Financial Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Deborah Herrmann (Transamerica Financial Advisors, Inc.) Customer Complaints

Deborah Herrmann (CRD#: 5204514) is a previously registered Broker. She entered the securities industry in 2006 and previously worked for Transamerica Financial Advisors, Inc.; and Farmers Financial Solutions, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2021, FINRA sanctioned Deborah Herrmann, barring her from all capacities indefinitely, […]

Financial Advisor David Volpe (First Financial Equity Corporation) Customer Complaints

David Volpe (CRD#: 2543478) is a previously registered Broker, currently barred by FINRA. He entered the securities industry in 1996 and previously worked for First Financial Equity Corporation; LPL Financial, LLC; National Planning Corporation; AIG Financial Advisors, Inc.; and SunAmerica Securities, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor Dale Rampsberger (DMK Advisor Group, Inc.) Customer Complaints

Dale Rampsberger (CRD#: 1601669) is a dually registered Broker and Investment Advisor at DMK Advisor Group, Inc. in Lakewood, CO. He entered the securities industry in 1987 and previously worked for Securities America Advisors, Inc.; Titan/Value Equities Group, Inc.; Value Equities Corporation; and Principal Investors Corporation. According to publicly available records released by the Financial […]

Financial Advisor Enoch Booth (ALIC Financial Advisors, Inc.) Customer Complaints

Enoch Booth (CRD#: 4370233) is a previously registered Investment Advisor and previously registered Broker at VALIC Financial Advisors, Inc. in Columbia, SC. He entered the securities industry in 2001 and previously worked for The Variable Annuity Marketing Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July, FINRA sanctioned […]

Financial Advisor Cynthia Komarek (Sagepoint Financial, Inc.) Customer Complaints

Cynthia Komarek (CRD#: 1188714), also known as Cynthia Brown, Cynthia Brown Komarek, and Cynthia Brown Pearson) was a previously registered Broker and Investment Advisor at Sagepoint Financial, Inc., in Barrington, IL. She entered the securities industry in 1983 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Lehman […]