Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Guilford Nergard: 6-Figure Complaints Against Sanctioned Ex-Newbridge Rep
Guilford Nergard (CRD# 2360614), a Phoenix-area investment professional, is involved in customer disputes and was recently sanctioned by securities regulators. According to Financial Industry Regulatory Authority records, Nergard is not currently registered as a broker, though he was previously registered with Newbridge Securities in Mesa, Arizona. He is currently registered as an investment adviser… Read More »
Ex-HD Vest Rep Travis Eiland Allegedly Caused 6-Figure Losses
Former Bayton, Texas stockbroker and investment adviser Travis Eiland (CRD# 4127872) is involved in a pending customer dispute alleging fraud and other causes of action. Financial Industry Regulatory Authority (FINRA) records show that Eiland was previously employed by HD Vest Investment Services, but is not currently registered as a broker or as an investment… Read More »
Christ Baltas: 6-Figure Churning Complaint Against Barred Melville Rep
Christ Baltas (CRD# 4127872), a stockbroker and investment adviser last employed by Worden Capital Management, has been named in customer disputes alleging his conduct resulted in losses. Financial Industry Regulatory Authority (FINRA) records disclose that Baltas, formerly based in Melville, New York, has been barred from acting as a broker or otherwise associating with… Read More »
Madison Avenue Advisor Vincent Virga: GPB Capital Complaints
Naples, Florida investment adviser Vincent Virga (CRD# 5070668) is involved in customer disputes concerning alleged investments in GPB Capital. According to the Financial Industry Regulatory Authority, Virga was previously registered with Madison Avenue Securities as a broker, but is currently only registered with the firm as an investment adviser.
Leighton Stallones: San Marcos Rep Has 6-, 7-Figure Complaints
Leighton Stallones (CRD# 433344), a Momentum Independent Network stockbroker in San Marcos, Texas, has been involved in disputes alleging he caused millions in cumulative losses. Financial Industry Regulatory Authority disclosures include a recent pending complaint against Stallones concerning allegations of unsuitable investments.
Martin Lerner: SOAEX, Energy 11/12 Complaints Against Boca Raton Rep
Boca Raton stockbroker Martin Lerner (CRD# 871038), a representative of David Lerner Associates, is involved in recent customer disputes alleging $700,000 in damages. According to Financial Industry Regulatory Authority disclosures, Lerner’s records also include a sanction and suspension by securities regulators over allegations he violated industry rules. Martin Lerner’s BrokerCheck report lists two pending… Read More »
$650K Complaint Against Flower Mound Rep William Burks
Centaurus Financial stockbroker and investment adviser William Burks (CRD# 2944992), registered with the firm’s branch office in Flower Mound, Texas, has been involved in settled, pending, and denied investor complaints. According to public records maintained by the Financial Industry Regulatory Authority, one recent complaint against William Burks (also known as Bill Burks) alleges more… Read More »
Metric Rep Brett Ellen Has 6-Figure Investment Complaints
Las Vegas stockbroker Bret Ellen (CRD# 1460478) allegedly recommended unsuitable investments that caused six-figure losses, per investor complaints reported to the Financial Industry Regulatory Authority. Currently a representative of Metric Financial, Ellen has been the subject of more than a dozen pending, settled, denied, or closed customer complaints.
Danny Young: 6-Figure Complaint Against Lake City, Adel Rep
Cetera Advisor Networks representative Danny Young (CRD# 4115155) allegedly recommended risky investments that led to substantial losses, according to a pending investor complaint against him. A Financial Industry Regulatory Authority (FINRA) database shows that Young is registered with the firm’s branch offices in Lake City, Florida; Adel, Georgia; and Douglas, Georgia.
Gerald Brodsky: Barred NYC Rep Has $800k Concord Group Complaint
Ex-Dinosaur Financial Group representative Gerald Brodsky (CRD# 1172647) was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. According to FINRA, he was registered with the firm’s branch office in New York City and is the subject of a pending customer complaint.
