Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Blakely Page: FINRA Suspends Bryn Mawr Advisor over Hedge Fund Stats
Securities regulators recently sanctioned Blakely Page (CRD# 2922955), formerly a representative of Spouting Rock Capital Advisors. Financial Industry Regulatory Authority records show that the former Bryn Mawr, Pennsylvania-based broker and investment advisor allegedly made negligent representations to investors.
Steven Hirata: FINRA Sanctions, Bars Ex-PFS Investments Advisor
Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing to cooperate with an investigation into his conduct. FINRA records show that the former PFS Securities broker is currently barred from acting as a broker or otherwise associating with a broker-dealer firm.
Rod Thomas: GPB Auto Complaint Against Former SCF Securities Advisor
Boca Raton financial advisory Rod Thomas (CRD# 4010563) recommended an unsuitable investment in GPB Automotive, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Newbridge Securities and Newbridge Financial Services, doing business as Shield Capital Advisory.
Scott Brooks: GPB Capital Complaint Against Gold Coast Advisor
San Clemente, California financial advisor Scott Brooks (CRD# 3235252) recently received an investor complaint alleging he engaged in negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gold Coast Financial, offering securities and advisory services through Newbridge Securities and Newbridge Financial… Read More »
Jay Ruggiere: NYC Advisor Received REIT Complaint
Alexander Capital financial advisor Jay Ruggiere (CRD# 2548108) has received an investor complaint alleging he committed fraud. Financial Industry Regulatory Authority records show that he is a broker based in New York City.
SEC Charges Against Western International Securities: GWG L Bonds
The US Securities and Exchange Commission has filed charges against Western International Securities and five of the firm’s brokers: Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan. According to a complaint released by the regulator, the firm and these representatives engaged in violations of the SEC’s Regulation Best Interest “when they… Read More »
Kevin McGregor: $5 Million Complaint Against Avantax Advisor
Concord, California financial advisor Kevin McGregor (CRD# 2540872) has received an investor complaint alleging his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a representative of KM Tax & Financial, registered as a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services.
Adam Gurien: Multiple Complaints Against Merrill Lynch Advisor
Palm Beach Gardens financial advisor Adam Gurien (CRD# 2302341) has received several investor complaints alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch.
Michael Whitaker: Newbridge Advisor Has $100K Negligence Complaint
Michael Whitaker (CRD# 6316100), a financial advisor based in The Villages, Florida, allegedly beached his fiduciary duty to a customer, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities Corporation.
Michael Sullum: Oil & Gas Complaint Against Boynton Beach Advisor
Michael Sullum (CRD# 4320124), a registered representative of Lincoln Financial Advisors Corporation, recently received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boynton Beach, Florida. Mr. Sullum’s BrokerCheck report discloses one investor complaint against him. Filed… Read More »
