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
  • Stephen Marek: $112K Complaint Against American Pride Advisor

    Uniondale, New York financial advisor Stephen Marek (CRD# 2458841) recently received an investor complaint alleging six-figure losses. Financial Industry Regulatory...

    Read More
  • Wayne Hill: Strategic Asset Management Advisor Has $277K GWG Complaint

    A recent investor complaint against Lane, South Carolina financial advisor Wayne Hill (CRD# 1692976) details allegations regarding investments in GWG...

    Read More
  • Bernie Adair: Investor Alleges Jupiter Advisor Misappropriated Funds

    Merrill Lynch financial advisor Bernie Adair (CRD# 1535429) allegedly misappropriated investor funds, according to a recent complaint against him. Financial...

    Read More
  • Cash Freeman: $1 Million Complaint Against Fort Collins Advisor

    RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in...

    Read More
  • Previous
  • Next