Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
Read MoreAuthor Archives: chase@carlson-law.com
Will Tenpenny: Edward Jones Advisor Lands 6-Figure Complaint
Spring Hill, Tennessee financial advisor Will Tenpenny (CRD# 5606390) allegedly executed a fraudulent transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Bruce Galbraith: $444K Complaint Against Siebert Financial Advisor
Seal Beach, California financial Bruce Galbraith (CRD# 1412992) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Muriel Siebert & Company and an investment advisor with Siebert AdvisorNXT. Both companies are wholly owned subsidiaries of Siebert… Read More »
Isaiah Williams: FINRA Bars Ex-Merrill Lynch Advisor
Former Boca Raton financial advisor Isaiah Williams (CRD# 6211219) 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 Merrill Lynch, until his resignation in 2024.
Bill Conn: FINRA Suspends Ex-Raymond James Advisor
Former San Francisco financial advisor Bill Conn (CRD# 1477107) was recently sanctioned in connection with allegations of unauthorized trades and an improper client loan. Financial Industry Regulatory Authority records show that the former Raymond James broker is currently registered as an investment advisor with International Assets Investment Management.
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.
