A recent investor complaint against former Newton, Massachusetts financial advisor Ron Birnbaum (CRD# 2382580) alleges that his conduct resulted in...
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Doug Dulac: Maine Street Advisor Lands Suitability Complaint
Carmel, Maine financial advisor Doug Dulac (CRD# 1411702) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Maine Street Insurance and Financial Services.
Matthew Hurley: $206K Complaint Against Hurley Wealth Advisor
San Diego, California financial advisor Matthew Hurley (CRD# 1682165) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Hurley Wealth Management.
Derek Stamos: Somerset Advisor Faces Pending Sanction
Portland, Oregon financial advisor Derek Stamos (CRD# 6667533) has been named in a pending enforcement action by securities regulators in Oregon. Financial Industry Regulatory Authority records show that he is registered as a broker with Somerset Securities.
Eduardo Leon: FINRA Suspends Global Financial Advisor
Houston, Texas financial advisor Eduardo Leon (CRD# 2232647) was recently sanctioned and suspended in connection with allegations that he improperly borrowed funds from a customer. Financial Industry Regulatory Authority records show that he is registered as a broker with Global Financial Services.
Gabe Candea: $1mm Complaint Against Beacon Advisor
A recent investor complaint against Irvine, California financial advisor Gabe Candea (CRD# 5531840) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Beacon Investment Realty.
Clayton Taylor & Elizabeth Valenti: Platinum Advisors Face Complaint
San Antonio, Texas financial advisors Clayton Taylor (CRD# 7290665) and Elizabeth Valenti (CRD# 5346551) recently received an investor complaint alleging unauthorized trading. Financial Industry Regulatory Authority records show that both are registered as brokers and investment advisors with Osaic Wealth, doing business as Platinum Wealth Solutions of Texas.
Alex Maltez: $651K GWG Complaint Against Ex-Newbridge Advisor
Winter Springs, Florida financial advisor Alex Maltez (CRD# 6506116) recently received an investor complaint alleging that his advice resulted in more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Newbridge… Read More »
Joseph O’Shea: FINRA Bars Former Spartan Capital Advisor
Former New York City financial advisor Joseph O’Shea (CRD# 2805483) was recently sanctioned and barred in connection with allegedly excessive trading. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
Justin Parker: Ameriprise Advisor Suspended over REIT Offer
Itasca, Illinois financial advisor Justin Parker (CRD# 4671557) was recently sanctioned and suspended in connection with allegedly unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Ron Botello: FINRA Suspends Platinum Wealth Advisor
Former San Antonio, Texas financial advisor Ron Botello (CRD# 4809045) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Osaic Wealth, doing business as Platinum Wealth Solutions of Texas.
