Santa Monica, California financial advisor Roger Nelson (CRD# 5527516) recently received an investor complaint alleging that his conduct resulted in...
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Carlson Files Arbitration Against Marshall Cassedy, Jr. and McNally Financial
On December 7, 2017, Chase Carlson filed a FINRA arbitration against financial advisor Marshall Cassedy, Jr., McNally Financial Services Corporation, David McNally, and Barrett Schultz. The Statement of Claim filed with FINRA alleges that the Claimants, who are retirees, were taken advantage of by Marshall Cassedy, Jr. and McNally Financial Services Corporation due to… Read More »
FINRA Suspends Sharon Kwan For Failure to Notify National Planning Corporation of Outside Business
California financial advisor Sharon Kwan (CRD# 2578627) has been suspended by FINRA under findings of irregularities from April 2009 to April 2013 regarding her maintaining outside business with National Planning Corporation firm customers without notifying National Planning Corporation. FINRA found that Kwan’s conduct violated FINRA Rules 3270 and 2010 and NASD 3030. Furthermore, FINRA… Read More »
Charles M. Anderson: Pennsylvania Financial Advisor Formerly of Morgan Stanley Suspended by FINRA
Financial advisor Charles Anderson, formerly of Morgan Stanley and Pursche Kaplan Sterling Investments in Pennsylvania (not to be confused with an advisor by the same name it Atlanta), was suspended by FINRA for four months and fined $5,000. According to FINRA, from July 2012 to December 2014, Anderson engaged in “unsuitable” short-term trading of… Read More »
