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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FINRA Bars Indianapolis Advisor David Karandos
Pending investor complaints against former Dinosaur Financial advisor David Karandos (CRD# 1934119) allege that his recommendations led to six-figure losses. Financial Industry Regulatory Authority records show that the Indianapolis-based representative has been barred by FINRA over findings he refused to cooperate with an investigation into his conduct.
UBS Reaches $25 Million Fraud Settlement with SEC: Options Strategy
UBS Financial Services will pay “approximately $25 million” as part of a settlement with the Securities and Exchange Commission over fraud charges stemming to its Yield Enhancement Strategy, or YES, a “complex options investment strategy.” A press release issued by the SEC in June specifies that UBS will pay $5.8 million in disgorgement, $1.4… Read More »
Report: Rockefeller Capital Management Fires Advisor Brent Hablutzel
According to a recent report by AdvisorHub, Rockefeller Capital Management has terminated representative Brent Hablutzel (CRD# 4749339), reportedly a “high-producing broker” in its Greenwood Village office. Mr. Hablutzel “produced around $8 million in annual revenue” during his tenure at the firm, where he had been registered as a broker and an investment adviser since… Read More »
Ed Torriente: $50 Million Complaint Against Barred Comerica Advisor
Securities industry regulators recently barred former Phoenix advisors Ed Torriente (CRD# 4255814) over findings he refused to cooperate with an investigation into allegedly unauthorized transactions. Financial Industry Regulatory Authority records show that Mr. Torriente was most recently a broker with Comerica Securities.
Newbridge Advisor Kyle Corgan: Negligence Complaint
Recent investor complaints against Syosset, New York financial advisor Kyle Corgan (CRD# 4417800) allege that he was negligent in his duties. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Newbridge Securities Corporation.
Brian Jackson: Investor Complaint Against Riverside Advisor
Ameriprise Financial Services advisor Brian Jackson (CRD# 3188036) has received an investor complaint alleging more than $500,000 in damages. Financial Industry Regulatory Authority records show that the broker and investment advisor is based in Riverside, California.
Scott Wolfrum: $11 Million Complaint Against Indianapolis Advisor
A recent investor complaint against Wolfrum & Company advisor Scott Wolfrum (CRD# 2187550) alleges $11 million in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Indianapolis-based representative was most recently registered as a broker with Huntleigh Securities Corporation.
Mike Whitaker: Complaints Against Whitaker & Associates Advisor
Investor complaints against The Villages, Florida financial advisor Mike Whitaker (CRD# 1739854) allege negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Newbridge Securities Corporation, doing business as Michael L. Whitaker & Associates.
Michael O’Rourke: $314K Complaint Denied by Oppenheimer
A denied investor complaint against Stamford financial advisor Michael O’Rourke (CRD# 1644712) alleged that his actions resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Oppenheimer & Company.
Jody Holt Fired by Kenai Investments: Excessive Trading Allegations
Borger, Texas financial advisor Jody Holt (CRD# 6405025) was fired by a former member firm in connection to allegedly excessive trading. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with Holt Wealth Management; he was previously an advisor with Kenai Investments and a broker with… Read More »
