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Former Transamerica Financial Advisors Financial Advisor Wenru Liang Suspended and Fined for Making Unsuitable Recommendations

February 28, 2021

Wenru Liang (CRD#: 5157279) was an Investment Advisor at Transamerica Financial Advisors, Inc. in Columbia, MD. She entered the securities industry in 2008 and previously worked for World Group Securities, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Wenru Liang, suspending her for six…

Triad Sanctioned by FINRA for Violating Member Firm Rules on Supervising Financial Advisors

February 23, 2021

Because of the high degree of financial responsibility placed on investment advisors, the Financial Industry Regulatory Authority (FINRA) has regulations in place that govern not only the work of investment advisors but the companies that employ them. These rules require a brokerage to adequately supervise the work of their teams when it comes to handling…

SEC Brings Enforcement Action Against GPB Capital Principals in $1.7B “Ponzi-Like Scheme”; Criminal Charges Also Brought

February 13, 2021

As a result of allegations that GPB Capital Holdings committed investment fraud of $1.7 billion, on February 4, the Securities and Exchange Commission (SEC) filed an enforcement action and separate criminal charges have also been filed in federal court. The SEC alleges that David Gentile, the founder, owner and Chief Executive Officer of GPB, of…

Former Woodbury Investment Advisor Lisa Brumm Suspended and Fined for Making Unsuitable Recommendations to Investors

February 13, 2021

Lisa Ann Brumm, also known as Lisa Ann Moon (CRD#: 2834764) was an Investment Advisor at Woodbury Financial Services, Inc., in Portland, OR from April 2017 to December 2020. She entered the securities industry in 1997 and previously worked for AXA Advisors, LLC; Park Avenue Securities, LLC; Ameritas Investment Corp.; Sunamerica Securities, Inc.; World Group…

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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