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Tag: Unsuitable

Financial Advisor Allyson Trantum Disclosed Settled Customer Complaint

Allyson Trantum (CRD#: 2896970) is a dually registered Broker and Investment Advisor at J.W. Cole Financial, Inc. in Temecula, CA. Broker’s Background She entered the securities industry in 1997 and previously worked for LPL Financial, LLC; Edward Jones; MetLife Securities, Inc.; and Metropolitan Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment […]

Financial Advisor Michael Lee Has Ten Disclosed Customer Complaints

Michael Lee (CRD#: 715932) is a dually registered Broker and Investment Advisor at Essex Securities, LLC in Jersey City, NJ. Broker’s Background He entered the securities industry in 1980 and previously worked for ES Advisory Group; SB Advisory, LLC; CL Wealth Management, LLC; Cabot Lodge Securities, LLC; IFS Securities; Financial Advisory Network; Inc.; Securities America, […]

Financial Advisor Christopher Wright Has Four Disclosed Customer Complaints

Christopher Wright (CRD#: 4134973) is a dually registered Broker at Center Street Securities, Inc., and a registered Investment Advisor at Wright Wealth Management Group in Prescott, AZ. Broker’s Background He entered the securities industry in 2000 and previously worked for Multi-Financial Securities Corporation; Linsco/Private Ledger Corp.; and H.D. Vest Investment Services. Current And Past Allegations […]

Financial Advisor Seth Stewart Has Four Disclosed Customer Complaints

Seth Stewart (CRD#: 5467292) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2009 and previously worked for Center Street Securities, Inc.; and American Equity Investment Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Valentino Scott Has Disclosed Eight Customer Complaints

Valentino Scott (CRD#: 1497615) is a dually registered Broker and Investment Advisor at Centaurus Financial, Inc. in West Hills, CA. Broker’s Background He entered the securities industry in 1986 and previously worked for Montano Securities Corp.; Fortis Investors, Inc.; and Pruco Securities Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Financial Advisor Daniel Mackle Has Three Disclosed Customer Complaints

Daniel Mackle (CRD#: 2239531) is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1992 and previously worked for MD Global Partners, LLC; Garden State Securities, Inc.; J.P. Turner & Company, LLC; Barron Chase Securities, Inc.; Worthington Capital Group, Inc.; Investors Associates, Inc.; M.S. Farrell & Co., Inc.; […]

Janie Garza-Clark Barred By FINRA

Janie Garza-Clark (CRD#: 1010752) is a previously registered Broker. Broker’s Background She entered the securities industry in 1982 and previously worked for TCFG Wealth Management, LLC; Sagepoint Financial, Inc.; Hornor, Townsend & Kent, Inc.; PML Securities Company; NYLife Securities, Inc.; and Mutual of Omaha Fund Management Company. Current And Past Allegations Of Conduct Leading To […]

Financial Advisor Mark A. Thompson Has Three Disclosed Customer Complaints

Mark A. Thompson (CRD#: 4632270) is a dually registered Broker and Investment Advisor at Arkadios Capital in Atlanta, GA. Broker’s Background He entered the securities industry in 2003 and previously worked for ACG Wealth, Inc.; Triad Advisors, Inc.; LPL Financial Corporation; Lincoln Financial Advisors Corporation; and The Lincoln National Life Insurance Company. Current And Past […]

Financial Advisor William Torriente Barred by FINRA After Allegations of Unauthorized Trading

William Torriente (CRD#: 4255814) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2000 and previously worked for Comerica Securities; Wells Fargo Investments, LLC; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Financial Advisor Robert C. David Suspended by FINRA

Robert C. David (CRD#: 5211223) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2006 and previously worked for Morgan Stanley; and Citigroup Global Markets, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]