A recent investor complaint against Lenexa, Kansas financial advisor James Blalock (CRD# 7385122) alleges theft from a customer’s account. Financial...
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Victorville Rep Susan Cruz: REIT Complaints Allege 6-Figure Damages
Infinex Investments stockbroker Susan Cruz (CRD# 2213628) allegedly recommend unsuitable investments, according to customer complaints disclosed to the Financial Industry Regulatory Authority. FINRA records state that she is presently based out of Victorville, California.
Dominic Baldini: Emerson Equity Rep Fined over Mutual Fund Charges
San Mateo stockbroker Dominic Baldini (CRD# 3082081) was recently sanctioned by the Financial Industry Regulatory Authority after the regulator found he failed to reasonably supervise mutual fund trading. Currently a representative of Emerson Equity, he was fined and temporarily suspended from acting in a principal capacity.
Merrill Lynch’s Robert Brown Terminated after $4.25 Million Complaint
Merrill Lynch fired Birmingham, Alabama-based representative Robert Brown (CRD# 1148258) following the settlement of a customer complaint for more than $4 million. Formerly of the firm’s Brown Israel Wealth Management shingle, he is currently registered as an investment adviser with RFG Advisory in Vestavia Hills, Alabama.
FINRA Suspends Ex-Merrill Lynch Rep Scott Matthews: UIT Rollovers
Ex-Merrill Lynch stockbroker Scott Matthews (CRD# 1314735) was recently sanctioned by the Financial Industry Regulatory Authority. The former Merrill Lynch representative was found to have recommended unsuitable unit investment trust (UIT) rollovers to his customers and suspended for three months.
Kelly Feehrer: Ex-Merrill Lynch Rep Suspended over UIT Rollovers
Kelly Feehrer (CRD# 1470328), previously a stockbroker in Benton, Tennessee, was recently sanctioned by FINRA after findings he engaged in unsuitable trading of unit investment trusts. Formerly a representative of Merrill Lynch, he was temporarily suspended from acting as a broker.
Kevin McCallum: Birmingham LPL Rep Suspended over BDCs
Former Birmingham stockbroker Kevin McCallum (CRD# 2222586) was recently sanctioned by the Financial Industry Regulatory Authority. A former representative of LPL Financial, he was suspended over findings of concentration and unsuitable trading. Records also show a pending investor complaint against him, alleging damages of $4 million.
NYC Rep Christopher Orlando Barred over Excessive Trading Allegations
Christopher Orlando (CRD# 4136262), previously a stockbroker based in New York City, has been sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former Spartan Capital Securities representative was found to have engaged in quantitatively unsuitable trading in customer accounts.
George McCaffrey: Ex-NTB Rep Barred over Private Transactions
Ex-Englewood stockbroker George McCaffrey (CRD# 847377) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former NTB Financial Corporation representative has also received an investor dispute alleging his actions caused $1.7 million in damages.
FINRA Bars Largo Advisor Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was the subject of a recent Financial Industry Regulatory Action sanction connected to findings he refused to cooperate with an investigation into his conduct. The former American Independent Securities Group representative was barred from acting as a broker or otherwise associating with a broker-dealer firm.
Douglas Szempruch: FINRA Suspends Former Aegis Advisor
Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over findings he engaged in unsuitable trading. Formerly a representative of Aegis Capital, Mr. Szempruch was suspended from acting as a broker.
