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Tag Selling Away

FINRA Barred Financial Advisor, Alberto Sanchez, For Failing To Cooperate In An Investigation Regarding Selling Away

June 24, 2019

Alberto Sanchez was a former Financial Advisor at Sagepoint Financial, Inc., MML Investors Services, LLC and Principal Securities, Inc. in Fort Lauderdale, FL  Alberto Sanchez entered the securities industry in 2002 and previously worked at Metlife Securities.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 3, 2019, Alberto…

Former Ameritas Investment Corp. Financial Advisor, James F. Anderson, Barred By FINRA

June 7, 2019

James F. Anderson was a Financial Advisor at Ameritas Investment Corp. in Dakota Dunes, South Dakota.  James F. Anderson entered the securities industry in 2004 and worked at Ameritas Investment Corp. his entire career.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 3, 2019, James F. Anderson was…

Former CUSO Financial Services Financial Advisor, Eric Shanks, Has Eight Customer Complaints, Including One Pending Complaint

April 28, 2019

Eric Shanks is a former Financial Advisor at CUSO Financal Services in Richardson, Texas.  Eric Shanks entered the securities industry in 1996 and previously worked for Washington Mutual Financial Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2014, Eric Shanks was “discharged” by CUSO Financial Services for…

Former Morgan Stanley And First Financial Equity Financial Advisor, Daniel Levine, Barred From The Securities Industry By FINRA

March 31, 2019

Daniel Levine is a former Financial Advisor at Morgan Stanley in Greenwood Village, Colorado.  After being terminated by Morgan Stanley in August 2018, Daniel Levine briefly joined First Financial Equity Corp.  Robert Mehlin, Jr. has been in the securities industry since 1997 and previously worked at UBS Financial Services and Merrill Lynch. According to publicly…

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis