Southfield, Michigan financial advisor Sharon Sykes (CRD# 1334948) recently received an investor complaint alleging that her conduct resulted in six-figure...
Read MoreAuthor Archives: chase@carlson-law.com
Rob Goff: FINRA Suspends, Fines Ex-Wells Fargo Advisor
Former East Lansing, Michigan financial advisor Rob Goff (CRD# 4388671) 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 Wells Fargo Clearing Services.
Independence Capital Sanctioned over GWG L Bond Sales
A recent disciplinary action against Parma, Ohio financial advisor Independence Capital (CRD# 24723) alleges that the firm violated industry rules in connection with the recommendations of GWG L Bonds. Financial Industry Regulatory Authority records show that the firm has been censured and ordered to pay more than $100,000 in restitution.
Hugo Hernandez: MML Advisor Barred by FINRA
Former El Paso, Texas financial advisor Hugo Hernandez (CRD# 6446187) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Lyhen Fiallo: FINRA Bars Primerica Advisor
Former Hialeah, Florida financial advisor Lyhen Fiallo (CRD# 4579582) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with PFS Investments, also known as Primerica.
Thomas Prentice: $825K Complaint Against RBC Advisor
Palm Desert, California financial advisor Thomas Prentice (CRD# 874774) recently received an investor complaint alleging 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 RBC Capital Markets.
Kent Engelke: Capitol Securities Advisor Lands Suitability Complaint
Glen Allen, Virginia financial advisor Kent Engelke (CRD# 1421164) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Capitol Securities Management.
Eric Lankin: Why Did Advisor Resign from Morgan Stanley?
Jamestown, Pennsylvania financial advisor Eric Lankin (CRD# 4542289) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker and an investment advisor with Purshe Kaplan Sterling.
Sean Vappie: JP Morgan Advisor Faces $2.1mm Complaint
New Orleans, Louisiana financial advisor Sean Vappie (CRD# 5318274) recently received an investor complaint alleging that his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones, having previously been registered with JP Morgan Securities.
William Medina: UBS Advisor Faces Investor Complaint
San Juan, Puerto Rico financial advisor William Medina (CRD# 2744961) allegedly colluded in the unauthorized withdrawal of funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Ehud Gersten: $1mm Complaint Against Concorde, Ex-Emerson Advisor
Ann Arbor, Michigan financial advisor Ehud Gersten (CRD# 7066119) allegedly violated industry rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and is a managing partner of Perch Wealth.
