New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Carey James: $66K Complaint Against James Financial Advisor
Arroyo Grande, California financial advisor Carey James (CRD# 1420763) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Centaurus Financial, doing business as James Financial Group.
Peter Ermogenous: Complaint Against Wells Fargo Advisor Settles
Carle Place financial advisor Peter Ermogenous (CRD# 5257901) has received several investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with Citigroup Global Markets and Capital One Investing.
Michael Desando: FINRA Suspends Red Bank Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Network 1 Financial Securities advisor Michael Desando (CRD# 1849321). FINRA records show that the Red Bank, New Jersey broker allegedly engaged in excessive and unsuitable trading in a customer’s account and has been suspended for three months.
John Townshend: Regulators Sanctions Tulsa Advisor
Palm Beach Capital Corporation financial advisor John Townshend (CRD# 2784752) was recently sanctioned by state securities regulators in connection with findings of misconduct. Securities and Exchange Commission records show that he is currently registered as an investment advisor in Tulsa, Oklahoma.
Boca Raton Advisor John Egan Receives Multiple Complaints
Newbridge Financial Securities financial advisor John Egan (CRD# 818750) is the recipient of multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, California.
Kevin Nevin: $400K Complaint Against Barred Edina Advisor
Former Dempsey Lord Smith financial advisor Kevin Nevin (CRD# 2460059) was recently sanctioned by the Financial Industry Regulatory Authority. FINRA records show that the former Edina, Minnesota-based broker has been barred from association with any FINRA member in all capacities.
Tim Petrou: FINRA Sanctions Ronkonkoma Advisor for 6 Months
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former Arive Capital Markets financial advisor Tim Petrou (CRD# 2672840). FINRA records show that the Ronkonokoma, New York broker allegedly engaged in excessive and unsuitable trading and has been suspended for six months.
New Complaint Against North Texas Advisory Group’s Buddy Jimerson
Dallas financial advisor Buddy Jimerson (CRD# 1374856) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sunbelt Securities, doing business as North Texas Advisory Group.
Petoskey Advisor Rochelle Roerig: Bond Complaint
PNC Investments financial advisor Rochelle Roerig (CRD# 4049700) recently received an investor complaint that reached a five-figure settlement. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Petoskey, Michigan.
FINRA Suspends Shawn Murff, Ballwin Financial Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Cutter & Company financial advisor Shawn Murff (CRD# 6714280). FINRA records show that the Ballwin, Missouri broker and investment advisor allegedly compensated a customer for a loss without his member firm’s authorization and has been suspended for one month.
