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Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation

December 9, 2018

The Wolper Law Firm is currently investigating claims against John Pariser, a former Financial Adviser at Independent Financial Group in Pacific Grove, California.  John Pariser has been in the securities industry since the 1990s and previously worked at SWS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on…

Chelsea Financial Services Broker, Charles Bloom, Barred By FINRA For Allegedly Recommending Unsuitable Investments

December 9, 2018

The Wolper Law Firm is currently investigating claims against Charles Bloom, a former Financial Adviser at International Asset Advisory and Chelsea Financial Services in Palm Beach County, Florida.  Charles Bloom has been in the securities industry since 2000 and worked at myriad brokerages during that period of time. According to publicly available records released by…

Financial Advisor Brandon Stimpson Terminated By Allegis For Failing To Follow Firm’s Code Of Ethics

December 2, 2018

The Wolper Law Firm is currently investigating claims against Brandon Stimpson, a former Financial Adviser at Allegis Investment Advisors in North Logan, Utah.  Brandon Stimpson has been in the securities industry since the 2000s and was previously employed by Signator Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

RBC Terminated Financial Advisor, Barry Hartwyk, For Allegedly Taking Time And Price Discretion And Front Running

November 25, 2018

The Wolper Law Firm is currently investigating claims against Barry Hartwyk, a former Financial Adviser at RBC Capital Markets in Long Beach, California.  Barry Hartwyk has been in the securities industry since the 1980s and previously worked for Credit Suisse. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November…

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