Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Hector Hernandez: FINRA Bars Ex-Money Concepts Advisor
Former San Antonio, Texas financial advisor Hector Hernandez (CRD# 4654126) was recently sanctioned and barred from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Peak Brokerage Services, having previously been registered with Money Concepts Capital Corporation.
Arthur McQuaide, Ex-Spartan Advisor, Sanctioned by FINRA
Former Garden City, New York financial advisor Arthur McQuaide (CRD# 4581876) allegedly made excessive trades in customer accounts, according to a regulatory enforcement action. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
Matthew Mierzycki: FINRA Fines, Suspends Ameriprise Advisor
Round Rock, Texas financial advisor Matthew Mierzycki (CRD# 6102769) was recently suspended by FINRA in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Edward Jones.
Todd Anderson: FINRA Bars Former Benchmark Investments Advisor
Former Tucson financial advisor Todd Anderson (CRD# 1896352) was recently sanctioned and barred from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Benchmark Investments, doing business as Anderson Financial Services.
Anthony Cantone: FINRA Investigates, Bars Cantone Research Advisor
Former Eatontown, New Jersey financial advisor Anthony Cantone (CRD# 1066139) was recently barred from acting as a broker in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cantone Research.
Estevao Semedo: Ex-PFS Advisor Barred After OBA Investigation
Former Brockton, Massachusetts financial advisor Estevao Semedo (CRD# 4631886) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PFS Investments.
Ed Mercer: FINRA Bars RLA Financial Advisor
Former Coral Springs, Florida financial advisor Ed Mercer (CRD# 1839328) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cambridge Investment Research, doing business as RLA Financial.
Jack Fisher & James Sinnott Sentenced in Conservative Easement Scheme
In September 2023, a federal jury convicted Jack Fisher and James Sinnott in connection with allegations that they operated a fraudulent scheme involving the marketing and sale of “abusive syndicated conservation easement tax shelters” to high-income clients. According to a January 9, 2024 press release by the US Department of Justice, Fisher received a… Read More »
Felipe Henao: Insigneo Advisor Fined over Trading Allegations
A recent sanction against former Miami financial advisor Felipe Henao (CRD# 5140431) alleges that he made unauthorized transactions in a customer account. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Insigneo Securities, doing business as GCH Advisors.
Ron Bucher: FINRA Bars Ex-Pinnacle Advisor
Former Fort Myers financial advisor Ron Bucher (CRD# 1804910) was recently sanctioned in connection with allegations he refused to cooperate with an investigation. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with San Blas Securities and Pinnacle Investment.
