Former Miami financial advisor Dennis Herrera (CRD# 4618370) was recently sanctioned and suspended in connection with alleged rule violations. Financial...
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Tony Gallea & Helen Rothlein: Morgan Stanley Advisors Face $429K Claim
Morgan Stanley financial advisors Tony Gallea (CRD# 713980) and Helen Rothlein (CRD# 709040) recently received an investor complaint alleging that their conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that Mr. Gallea is based in Hendersonville, North Carolina and Palm Coast, Florida, while Ms. Rothlein is based in New York City… Read More »
Seiichi Shinomiya: Why Did Western International Fire Advisor?
Port Washington, New York financial advisor Seiichi Shinomiya (CRD# 1752347) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is registered as an investment advisor with Dorado Wealth Management.
Franklin Lentz: Why Did JW Cole Advisor Resign?
Gainesville, Florida financial advisor Franklin Lentz (CRD# 1517542) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former JW Cole Financial broker is registered as an investment advisor with Lentz Advisors.
Jeffrey Fishman: B. Riley Advisor Faced $100K Complaint
A recent, denied investor complaint against Tampa, Florida financial advisor Jeffrey Fishman (CRD# 1021795) alleged that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation and Winslow Evans & Crocker.
Gerry Siegel: $100K-$500K Complaint Against Aegis Advisor
Sarasota, Florida financial advisor Gerry Siegel (CRD# 1830390) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aegis Capital, having previously been registered with JHS Capital Advisors.
Claudia Leite: $150K Complaint Against Morgan Stanley Advisor
Aventura, Florida financial advisor Claudia Leite (CRD# 5250258) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Itau International Securities.
Andy Roberson: $300K Complaint Against WestPac Advisor
A recent investor complaint against San Ramon, California financial advisor Andy Roberson (CRD# 4143407) alleges that he recommended an unapproved product, resulting in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Park Avenue Securities. His firm’s website shows that he is a representative… Read More »
Joe Kelly: FINRA Investigates Ex-Spartan Advisor
New York City financial advisor Joe Kelly (CRD# 4560737) made excessive and unauthorized trades, according to a regulatory investigation. Financial Industry Regulatory Authority records show that he is registered as a broker with VCS Venture Securities, having previously been registered with Spartan Capital Securities.
Celia Zhang: Suitability Complaint Against Ex-Cetera Advisor
San Gabriel, California financial advisor Celia Zhang (CRD# 5918387) allegedly recommended unsuitable investments, according to investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Independent Financial Group, doing business as Sunrise Investment Capital.
Muhammed Wahdy: FINRA Fines, Suspends Ex-Merrill Advisor
Former San Francisco financial advisor Muhammed Wahdy (CRD# 6266210) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with Wahdy Capital.
