Investors who suffered losses in on investments in Spring Hill Holdings may have recovery options. The company, an owner and...
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Derek Stamos: Somerset Advisor Faces Pending Sanction
Portland, Oregon financial advisor Derek Stamos (CRD# 6667533) has been named in a pending enforcement action by securities regulators in Oregon. Financial Industry Regulatory Authority records show that he is registered as a broker with Somerset Securities.
Eduardo Leon: FINRA Suspends Global Financial Advisor
Houston, Texas financial advisor Eduardo Leon (CRD# 2232647) was recently sanctioned and suspended in connection with allegations that he improperly borrowed funds from a customer. Financial Industry Regulatory Authority records show that he is registered as a broker with Global Financial Services.
Gabe Candea: $1mm Complaint Against Beacon Advisor
A recent investor complaint against Irvine, California financial advisor Gabe Candea (CRD# 5531840) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Beacon Investment Realty.
Clayton Taylor & Elizabeth Valenti: Platinum Advisors Face Complaint
San Antonio, Texas financial advisors Clayton Taylor (CRD# 7290665) and Elizabeth Valenti (CRD# 5346551) recently received an investor complaint alleging unauthorized trading. Financial Industry Regulatory Authority records show that both are registered as brokers and investment advisors with Osaic Wealth, doing business as Platinum Wealth Solutions of Texas.
Alex Maltez: $651K GWG Complaint Against Ex-Newbridge Advisor
Winter Springs, Florida financial advisor Alex Maltez (CRD# 6506116) recently received an investor complaint alleging that his advice resulted in more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Newbridge… Read More »
Joseph O’Shea: FINRA Bars Former Spartan Capital Advisor
Former New York City financial advisor Joseph O’Shea (CRD# 2805483) was recently sanctioned and barred in connection with allegedly excessive trading. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
Justin Parker: Ameriprise Advisor Suspended over REIT Offer
Itasca, Illinois financial advisor Justin Parker (CRD# 4671557) was recently sanctioned and suspended in connection with allegedly unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Ron Botello: FINRA Suspends Platinum Wealth Advisor
Former San Antonio, Texas financial advisor Ron Botello (CRD# 4809045) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Osaic Wealth, doing business as Platinum Wealth Solutions of Texas.
Phillip Falk: Emerson Advisor Faces Investor Complaint
McKinney, Texas financial advisor Phillip Falk (CRD# 2372997) recently received an investor complaint alleging that his conduct violated industry rules and standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity.
Brett Frum: $1mm-$5mm Complaint Against KCD Advisor
A recent investor complaint against Tarpon Springs, Florida financial advisor Brett Frum (CRD# 2175253) 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 KCD Financial.
