Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Author Archives: Site Administrator

Carlson Files Arbitration Against Marshall Cassedy, Jr. and McNally Financial

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

FINRA Suspends Sharon Kwan For Failure to Notify National Planning Corporation of Outside Business

By Chase Carlson |

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 »

Facebook Twitter LinkedIn

Charles M. Anderson: Pennsylvania Financial Advisor Formerly of Morgan Stanley Suspended by FINRA

By Chase Carlson |

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 »

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Jonathan Krueger: ProShares ETF Complaint Against Larson Financial Rep

    Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging...

    Read More
  • Brian Visconti: $200K Complaint Against Fired Raymond James Rep

    A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial...

    Read More
  • Westlake Village Broker Thomas Swan Under SEC Investigation

    The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of...

    Read More
  • New Investor Complaints Against Sunrise Investment’s Celia Zhang

    Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority...

    Read More
  • Previous
  • Next