InEnTec Inc., the Bend, Oregon-based plasma-gasification technology company (formerly known as InEnTec LLC and Integrated Environmental Technologies LLC), filed for...
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Allison Terlip: $817K Complaint Against Ex-Ameritas Advisor
Former Navarre, Florida financial advisor Allison Terlip (CRD# 5530486) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that while she is not currently registered as a broker, she was formerly registered with Ameritas Investment Company.
Christopher Reynolds: FINRA Bars Former Pruco Advisor
Former Canonsburg, Pennsylvania financial advisor Christopher Reynolds (CRD# 5976029) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Pruco Securities and WesBanco Securities.
Glenn Donnell: FINRA Suspends Ex-Sigma Financial Advisor
Former Crystal River, Florida financial advisor Glenn Donnell (CRD# 2239397) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Sigma Financial Corporation.
Jon Urbach: Fidelity Advisor Faces $426K Complaint
Chicago financial advisor Jon Urbach (CRD# 5308455) recently received an investor complaint alleging that his conduct resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Mark D’Ercole: Ex-Portsmouth Advisor Discloses GWG Complaint
Former San Francisco financial advisor Mark D’Ercole (CRD# 820220) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the former Portsmouth Financial Services broker is not currently registered with any broker-dealer firm.
Sal Bonetti: Ex-MML Advisor Faces $130K Complaint
Windham, Maine financial advisor Sal Bonetti (CRD# 4494241) recently received an investor complaint alleging that his advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Insight Folios.
Wilson Kwok: $600K Complaint Against Wells Fargo Advisor
Daly City, California financial advisor Wilson Kwok (CRD# 5083791) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Christopher Lundmark: Ameriprise Fires Independence Square Advisor
King of Prussia, Pennsylvania financial advisor Christopher Lundmark (CRD# 3022544) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with Independence Square Holdings.
Michael Grady: $1.4mm GWG Complaint Against American Trust Advisor
Lisle, Illinois financial advisor Michael Grady (CRD# 1392784) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an advisor with Asset Strategies, American Trust Investment Services Advisory, and Chicago Capital Management… Read More »
Tracey Smith: Ameriprise Advisor Faces RiverSource Annuity Complaint
Mt. Lebanon, Pennsylvania financial advisor Tracey Smith (CRD# 2668443) allegedly misrepresented a variable annuity investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
