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
Patricia Fleming: Lumena Advisor Lands $500K Complaint
San Diego, California financial advisor Patricia Fleming (CRD# 1960175) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Lumena Financial Strategies.
Shawn Weadock: Alexander Capital Advisor Lands $1.6mm Complaint
Red Bank, New Jersey financial advisor Shawn Weadock (CRD# 2602704) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital.
Christopher Bailey: FINRA Bars Ex-MassMutual Advisor
Former Cumming, Georgia financial advisor Christopher Bailey (CRD# 6907048) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with MML Investors Services, also known as MassMutual.
Peter Glowacki: FINRA Suspends TCFG, Ex-RBC Advisor
Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without authorization. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is now registered with TCFG Investment Advisors. A Letter of Acceptance, Waiver, and Consent (No…. Read More »
Brent Schmidt: FINRA Suspends Harvest Financial Advisor
Delano, Minnesota financial advisor Brent Schmidt (CRD# 3093473) allegedly permitted a business partner to falsify customer records, according to a regulatory sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Harvest Financial Services.
Pedro Ostia-Vega: Raymond James Advisor Suspended
A recent sanction against Oakville, Ontario financial advisor Pedro Ostia-Vega (CRD# 6181372) alleges that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker with Raymond James.
Chris Laffey: $1.6mm Complaint Against Alexander Capital Advisor
Red Bank, New Jersey financial advisor Chris Laffey (CRD# 859962) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital, having previously been registered with Ladenburg Thalmann & Company.
Marc Harrison: FINRA Investigates Reid & Rudiger Advisor
New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, whose website describes him as a co-founder of the firm.
Robert DeChick: Courtland/Walker Advisor Faces Suitability Complaints
A recent investor complaint against Clemont, Florida financial advisor Robert DeChick (CRD# 4152582) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DH Hill, doing business as Courtland/Walker Financial Group.
JP Gobic: Did Morgan Stanley Advisor Misrepresent Investments?
Sarasota, Florida financial advisor JP Gobic (CRD# 4380699) allegedly misrepresented an alternative investment strategy, 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.
