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Jose Cornide of UBS Complaints Regarding Options Overlay Strategy

By Chase Carlson |

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 »

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NFL Agent & 7X Pro Bowl Client Lost $1.2 Million Investing With Fraudster

By Chase Carlson |

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 »

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Dennis Mehringer: FINRA Bars Pasadena Financial Advisor

By Chase Carlson |

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 »

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Mariondy Fernandez: Complaints Against Dorchester Financial Advisor

By Chase Carlson |

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 »

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Gary Meier: Complaints Against Vancouver Financial Advisor

By Chase Carlson |

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 »

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Barry Speyer: Complaints Against Beverly Hills Financial Advisor

By Chase Carlson |

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 »

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Debra Bourne: Complaints Against Red Bank Financial Advisor

By Chase Carlson |

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 »

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Karl Foust: Complaints Against Boca Raton Financial Advisor

By Chase Carlson |

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 »

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Ben Lowder: FINRA Bars Charlotte, North Carolina Financial Advisor

By Chase Carlson |

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 »

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William Heiden: Complaints Against Newport Beach Financial Advisor

By Chase Carlson |

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 »

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Latest Blog Posts
  • 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...

    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...

    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...

    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...

    Read More
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