Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Mike Morrison: $100K Complaint Against Morrison Financial Advisor
A recent investor complaint against Highland Village, Texas financial advisor Mike Morrison (CRD# 1730240) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Morrison Financial.
Joe Barreca: $300K Complaint Against Wells Fargo Advisor
Metairie, Louisiana financial advisor Joe Barreca (CRD# 3276048) allegedly recommended unsuitable market-linked notes, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with First Horizon Advisors.
Adam Chustz: Stifel Advisor Lands $77K Complaint
Paducah, Kentucky financial advisor Adam Chustz (CRD# 4129813) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
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.
