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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Jason Cook: $300K REIT Complaint Against Stokes Cook Advisor
Graham, North Carolina financial advisor Jason Cook (CRD# 4349388) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Berthel Fisher & Company Financial Services, doing business as Stokes Cook Wealth Management.
Ron Baker: FINRA Bars Lubbock Advisor Over Discretion Probe
Lubbock, Texas financial advisor Ron Baker (CRD# 10600) has been barred from acting as a broker following allegations he failed to cooperate with a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he was most recently a representative of Richfield Orion International.
Jorge Sonville: $4 Million Complaint Against Sanctioned Miami Advisor
Insigneo Securities financial advisor Jorge Sonville (CRD# 2558540) has been sanctioned over allegations he improperly loaned money to a customer. Financial Industry Regulatory Authority records show that the Miami-based broker and investment advisor has also received an investor complaint alleging seven-figure damages.
Ann Box: Did Barred Cambridge Advisor Misappropriate Funds?
Dallas financial advisor Ann Box (CRD# 1662151) has been barred by the Financial Industry Regulatory Authority, which found she refused to cooperate with an investigation into her conduct. FINRA records show that she was most recently a broker and investment advisor with Cambridge Investment Research, having previously been registered with Royal Alliance Associates and… Read More »
FINRA Suspends Fairfield Advisor Denise Sobczak: Forgery Allegations
Kestra Investment Services financial advisor Denise Sobczak (CRD# 3078128) allegedly forged customer signatures, according to a recent Financial Industry Regulatory Authority sanction. FINRA records show that the Fairfield, New Jersey broker and investment advisor was issued a three-month suspension from associating with any FINRA member firm.
Brian Donnelly: Manhattan Ridge Advisor Suspended by FINRA
Former Iselin, New Jersey financial advisor Brian Donnelly (CRD# 4288121) allegedly participated in an undisclosed private securities transaction, according to a recent sanction suspending him from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently a broker and investment advisor with First Allied Securities, doing business as Manhattan… Read More »
FINRA Bars Oshkosh Advisor Tony Liddle: GWG L Bond Allegations
The Financial Industry Regulatory Authority recently barred ex-Landolt Securities advisor Tony Liddle (CRD# 5478479). FINRA records show that the former Oshkosh, Wisconsin-based representative was barred in relation to allegations he improperly borrowed almost $2 million from his clients at two member firms.
G.A Repple Advisor Paul Witthauer: GWG L-Bond Complaints
A recent investor complaint disclosed on Jamestown, North Dakota financial advisor Paul Witthauer’s (CRD# 1672263) BrokerCheck report concerns allegations regarding GWG L-bonds. Financial Industry Regulatory Authority records show that Mr. Witthauer is a broker and investment advisor with G.A. Repple & Company.
RockPort Global’s Donald Gunn: $500K GPB Complaint
Investor complaints disclosed on Tampa broker Donald Gunn’s (CRD# 1442917) BrokerCheck report allege fraud and other forms of misconduct relating to investments in GPB Capital and other products. Financial Industry Regulatory Authority records show that he is a representative of International Assets Advisory, doing business as RockPort Global.
Thomas Schultz: GWG Complaint Against Lyfe Advisors Broker
Scottsdale financial advisor Thomas Schultz (CRD# 5614228) has received investor complaints alleging his investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Titan Securities, doing business as Lyfe Advisors.
