A disciplinary action taken by the Financial Industry Regulatory Authority against former Pasadena, California broker and investment advisor Dennis Mehringer...
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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 »
William Hobby: Complaints Against Atlanta Financial Advisor
Settled and pending investor complaints against former Atlanta, Georgia broker and investment advisor William Hobby (CRD#: 2240076) allege conduct including improper account management, unsuitable investment recommendations, and more. Hobby is a former representative of UBS Financial Services, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
Alvery Bartlett: Complaints Against Clayton, Missouri Financial Advisor
Settled and pending investor complaints against Clayton, Missouri broker Alvery Bartlett (CRD#: 13975) allege conduct including suitability violations and misrepresentations of material facts. Bartlett is a representative of Arete Wealth Management, according to information drawn from Financial Industry Regulatory Authority records. A pending July 2019 complaint alleges that as a representative of Berthel &… Read More »
