Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative...
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Jose Cornide of UBS Complaints Regarding Options Overlay Strategy
Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative misrepresented and recommended an unsuitable options overlay strategy. Information drawn from Financial Industry Regulatory Authority records reflects investor complaints for damages between $500,000 and $10 million. The complaints all appear to relate to the… Read More »
NFL Agent & 7X Pro Bowl Client Lost $1.2 Million Investing With Fraudster
NFL agent Vincent (Vince) Taylor of Elite Loyalty Sports and his client, who appears to be 7x Pro Bowl Washington Redskins offensive tackle Trent Williams, are out $1.2 million after investing with a woman named Sua Lee, who “has accumulated numerous convictions related to identity theft.” Lee was recently sentenced to more than four… Read More »
Dennis Mehringer: FINRA Bars Pasadena Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Pasadena, California broker and investment advisor Dennis Mehringer (CRD# 722569) barred him after finding he failed to provide testimony connected with its investigation into possible unsuitable trading. A former representative of Western International Securities, Mehringer was barred from acting as a broker… Read More »
Mariondy Fernandez: Complaints Against Dorchester Financial Advisor
Settled and pending investor complaints against former Dorchester, Massachusetts broker Mariondy Fernandez (CRD#: 2391134) allege conduct including fraud, breach of fiduciary duty, over-concentration, and more. Fernandez is a former representative of Santander Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges violations of securities laws and rules,… Read More »
Gary Meier: Complaints Against Vancouver Financial Advisor
Settled and pending investor complaints against former Vancouver, Washington broker and investment advisor Gary Meier(CRD#: 1591561) allege conduct including suitability violations, breach of fiduciary duty, negligence, and more. Meier is a former representative of Cambridge Investment Research, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
Barry Speyer: Complaints Against Beverly Hills Financial Advisor
Settled and pending investor complaints against Beverly Hills, California broker and investment advisor Barry Speyer (CRD#: 432002) allege conduct including suitability violations, unauthorized trading, and more. Speyer is a representative of Morgan Stanley, according to information drawn from Financial Industry Regulatory Authority records. A pending August 2019 complaint alleges that as a representative of… Read More »
Debra Bourne: Complaints Against Red Bank Financial Advisor
Pending investor complaints against former Red Bank, New Jersey broker Debra Bourne (CRD#: 1352344) allege conduct including unsuitable investment recommendations, excessive trading, breach of fiduciary duty, and more. Bourne is a former representative of First Standard Financial Company, Oppenheimer & Company, and National Securities Corporation, according to information drawn from Financial Industry Regulatory Authority… Read More »
Karl Foust: Complaints Against Boca Raton Financial Advisor
Settled and pending investor complaints against former Boca Raton, Florida broker and investment advisor Karl Foust (CRD#: 1010291) allege conduct including suitability violations, failure to disclose conflicts of interest, misrepresentations, and more. Foust is a former representative of HD Vest Investment Services, according to information drawn from Financial Industry Regulatory Authority records. A pending… Read More »
Ben Lowder: FINRA Bars Charlotte, North Carolina Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Charlotte, North Carolina broker Ben Lowder (CRD# 3014106) barred him after finding he failed to provide testimony connected with its investigation into alleged deceptive trade practices. A former representative of MSI Financial Services, Lowder was barred from acting as a broker or… Read More »
William Heiden: Complaints Against Newport Beach Financial Advisor
Settled and pending investor complaints against former Newport Beach, California broker and investment advisor William Heiden (CRD#: 2885156) allege conduct including suitability violations, fraud, misrepresentations, and more. Heiden is a former representative of Wedbush Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as a representative… Read More »
