Chesterfield, Missouri financial advisor Deb Mesle (CRD# 849766) resigned from a former member firm in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Michael Taylor: LPL Advisor Resigned from Wells Fargo
Cincinnati, Ohio financial advisor Michael Taylor (CRD# 4319482) recently resigned from Wells Fargo in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as Mullins Taylor Wealth Management.
Randall Duggan: Sentinel Wealth Advisor Faces $500K-$900K Complaint
Bellingham, Washington financial advisor Randall Duggan (CRD# 5559097) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Sentinel Wealth Management.
Antonio Molinos: FINRA Suspends Spartan Advisor
Ronkonkoma, New York financial advisor Antonio Molinos (CRD# 2764977) was recently sanctioned and suspended in connection with alleged excessive and unsuitable trades. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Spartan Capital Securities.
Zach Taylor: FINRA Suspends Ex-Oppenheimer Advisor
Former Newport Beach, California financial advisor Zach Taylor (CRD# 6074776) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was recently registered as a broker with Saxony Securities and Oppenheimer & Company.
Dennis Herrera: FINRA Suspends NuDay Capital Advisor
Former Miami financial advisor Dennis Herrera (CRD# 4618370) 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 Aegis Capital, doing business as NuDay Capital.
Bill Burks II: FINRA Suspends Centaurus, Burks Financial Advisor
Flower Mound, Texas financial advisor Bill Burks (CRD# 2944992) was recently sanctioned and suspended by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Burks Financial.
James Garrity: Morgan Stanley Advisor Faces Investor Complaint
La Jolla, California financial advisor James Garrity (CRD# 2005714) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, also associated with the firm’s Salt Lake City, Utah location.
Leticia Hewko: $100K-$500K Complaint Against Cinergy Advisor
A recent investor complaint against Tustin, California financial advisor Leticia Hewko (CRD# 6211451) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Independent Financial Group, doing business as Cinergy Financial.
Tony Pechthalt: Suitability Complaint Against Edward Jones Advisor
Bellingham, Washington financial advisor Tony Pechthalt (CRD# 2422846) has received multiple investor complaints alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Matt Sottile: Bravias Advisor Faced Suitability Complaint
A recent, denied investor complaint against Iselin, New Jersey financial advisor Matt Sottile (CRD# 4774814) alleged that his advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former David Lerner Associates broker is currently registered as an investment advisor with Bravias Financial.
