New York, New York financial advisor Gary Talbot (CRD# 3059670) was recently suspended in connection with alleged rule violations. Financial...
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Gary Talbot: FINRA Suspends Spartan Capital Advisor
New York, New York financial advisor Gary Talbot (CRD# 3059670) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Dan Schmid: FINRA Bars Former Equitable Advisor
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Equitable Advisors.
Daniel Diaz: FINRA Sanctions Ex-Raymond James Advisor
Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Raymond James & Associates.
David Demarest: UBS Advisor Faces $15mm Complaint
Lexington, Kentucky financial advisor David Demarest (CRD# 4843128) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
David Russell: Suitability Complaint Against Merrill Lynch Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor David Russell (CRD# 6074721) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Scott Freeze: Aventura Advisor Under SEC Investigation
Huntingdon Valley, Pennsylvania financial advisor Scott Freeze (CRD# 2518935) is the subject of a pending investigation by the Securities and Exchange Commission, which alleges that he may have violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Aventura Securities, having previously been registered with International Assets… Read More »
Wes Young: Eagle Strategies Advisor Faces $40K Complaint
Austin, Texas financial advisor Wes Young (CRD# 4632589) recently received an investor complaint alleging that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Silas Parker & Associates and Savagen Securities.
Steve Schwartz: Financial Life Advisor Faces $1.4mm Complaint
A recent investor complaint against Mercer Island, Washington financial advisor Steve Schwartz (CRD# 4177383) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Financial Life Advisor.
Paul Sweeney: $150K Complaint Against Kingsview Advisor
A recent investor complaint against Wintersville, Ohio financial advisor Paul Sweeney (CRD# 6289017) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Edward Jones broker is currently registered as an investment advisor with Kingsview Wealth Management.
Maria Calcena: Osaic Advisor Receives $500K Complaint
A recent investor complaint against Palm Beach, Florida financial advisor Maria Calcena (CRD# 6348974) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Osaic Institutions.
