Englewood, Colorado financial advisor Terry Herron (CRD# 1172497) is listed in a Form D filing for Inspired Healthcare Capital, a...
Read MoreAuthor Archives: chase@carlson-law.com
Karen Briggs: $259K Complaint Against Ex-LPL Advisor
A recent investor complaint against former Edmonds, Washington financial advisor Karen Briggs (CRD# 1100275) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with LPL Financial, doing business as Householder Group Estate & Retirement Specialists.
Joel Woods: Ex-Legacy Financial Advisor Faces $750K Complaint
Former Fort Worth, Texas financial advisor Joel Woods (CRD# 1470780) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with LPL Financial, doing business as Legacy Financial Services.
Jennifer Hwang: Advisor Fired by LPL Financial
Former Wayne, New Jersey financial advisor Jennifer Hwang (CRD# 3091599) was recently terminated from her former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was previously registered as a broker and an investment advisor with LPL Financial.
Randolph Hinton: $245K Complaint Against Ex-RH Wealth Advisor
Former Ventura, California financial advisor Randolph Hinton (CRD# 1539210) recommended an unsuitable alternative investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was previously registered as a broker with United Planners’ Financial Services, doing business as RH Wealth Advisors.
Larry Cohen: Former Aegis Advisor Faces Suitability Complaint
New York City financial advisor Larry Cohen (CRD# 3191796) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, having previously been registered with Aegis Capital.
Daniel Diaz: Merrill Lynch Fires Miami Advisor
Former Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently terminated from his member firm in connection with alleged rule violations, according to a report by AdvisorHub. Financial Industry Regulatory Authority records show that he was previously registered with Merrill Lynch.
Linda Sokol Francis: FINRA Bars Ex-LPL Advisor
Former Brookfield, Illinois financial advisor Linda Sokol Francis (CRD# 811073) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was previously registered as a broker with LPL Financial and Waddell & Reed.
Michael Dugan: FINRA Suspends Ex-Spartan, Alexander Capital Advisor
Staten Island financial advisor Michael Dugan (CRD# 2824966) was recently sanctioned and suspended in connection with allegations that he recommended unsuitable transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital, having previously been registered with Craft Capital Management and Spartan Capital Securities.
Gregory Whelan: Why Did Merrill Lynch Advisor Resign?
Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) recently resigned from Merrill Lynch in connection with allegations of selling away. Financial Industry Regulatory Authority records show that he has also received an investor complaint that reached a settlement of more than $3 million.
John Palma: $500K Complaint Against Barred SW Financial Advisor
Former New York City financial advisor John Palma (CRD# 6848651) 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 with Spartan Capital Securities, having previously been registered with SW Financial and Worden Capital.
