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Tag: Unsuitable

SEC Suspends Broker Richard Michalski for Violating Regulation Best Interest

Richard G. Michalski (CRD#: 4588706) is a registered broker for LaidLaw & Company (UK) Ltd., in New York, NY. Broker’s Background Richard Michalski entered the securities industry in 2002 and previously worked for Kuhns Brothers Securities Corporation; Casimir Capital L.P; and Aegis Capital Corp. Allegations of Misconduct According to publicly available records released by the […]

Investment Advisor Representative Jacob Cazier Subject of $15M Customer Dispute

Jacob Perry Cazier (CRD#: 6904198) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2018 and previously worked for Allegis Investment Services, LLC; J.W. Cole Financial, Inc.; and Oak Lane Advisors. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Registered Broker Ivan Gefen Subject of $1.2M Customer Dispute

Ivan Gefen (CRD#: 1229418) is a registered broker and investment advisor at NewBridge Securities Corporation in Boca Raton, FL. Broker’s Background Ivan Gefen entered the securities industry in 1984, and previously worked for First Miami Securities, Inc; Prudential Securities Incorporated; VFinance Investments, Inc; National Securities Corporation; National Asset Management, Inc.; and Morgan Stanley. Current and […]

Financial Advisor Rene Javier Castro Has Disclosed Seven Customer Complaints

Rene Javier Castro (CRD#:2559410) is a registered broker at Great Point Capital LLC, and a registered investment advisor at Retirement Wealth Management.   Broker’s Background He entered the securities industry in 1994. He previously worked for Center Street Advisors, Inc.; VFG Advisors, Inc; Concorde Asset Management; United Financial Solutions, Inc.; Centaurus Financial, Inc.; Brewer Financial […]

Financial Advisor Robert Marquez Barred by FINRA in Connection with Investigation Involving Pre-IPO’s

Robert Emett Marquez (CRD#: 22662269) is a previously registered broker.   Broker’s Background He entered the securities industry in 1992. He previously worked for Investment Network; Edi Financial, Inc (FINRA expelled the firm in 2017); Colorado Financial Service Corporation; Brookstone Securities (FINRA expelled the firm in 2012); Empire Financial Group (FINRA expelled the firm in […]

Financial Advisor Michael Corrada Discloses Several Customer Disputes Alleging Unsuitable Investments

Michael Corrada (CRD# 709158) was a previously registered broker and financial advisor. Broker’s Background He entered the securities industry in 1980 and previously worked for Center Street Securities, Inc.; Coastal Equities, Inc.; Centaurus Financial, Inc.; SunTrust Investment Services, Inc.; BB&T Investment Services, Inc.; Crestar Securities Corporation; Signet Investment Corporation; E.F Hutton & Company Inc.; Merrill […]

Financial Advisor Joseph Hanson Suspended by FINRA

Joseph Hanson (CRD#: 5109237) was a registered broker and investment advisor. Broker’s Background He entered the securities industry in 2006. He previously worked for the O.N Equity Sales Company; Metlife Securities Inc.; and Metropolitan Life Insurance Company. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November […]

Financial Advisor Nisreen Byrne Has Thirteen Disclosed Customer Complaints

Nisreen Byrne (CRD# 2223199) is a registered broker and investment advisor at J.P Morgan Securities LLC Broker’s Background Nisreen Byrne entered the securities industry in 1992. She previously worked at Chase Investment Services Corp.; Banc One Securities Corp.; First Chicago NBD Investment Services, Inc.; and Essex National Securities, Inc. Current and Past Allegations of Conduct […]

Financial Advisor Christopher Kirkland Discloses Two Customer Disputes

Christopher Nelson Kirkland (CRD#: 5602044) is a registered broker and investment advisor at Avantax Investment Services, Inc., in Atlanta, Georgia.   Broker’s Background Christopher Kirkland entered the securities industry in 2008. He previously worked for LPL Financial, LLC; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and Ameriprise Financial Services, Inc.   Current Allegations of Conduct […]

Financial Advisor Mary Best Faces Complaint Alleging Unsuitable Investments

Mary Ann Best (CRD#: 4389355) is a registered broker and investment advisor at Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P in Washington, D.C.   Broker’s Background Mary Best was first registered with FINRA in 2001. She previously worked at J.P Morgan Securities LLC.   Current Allegations of Conduct Leading to Investment Loss According […]