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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7-Figure Complaints Against Long Island Rep Joseph Valdini
Ex-Aegis Capital stockbroker Joseph Valdini (CRD# 5517610) allegedly caused investors more than $2 million in losses, according to customer complaints against him. Financial Industry Regulatory Authority disclosures shows that Valdini has been barred from acting as a broker, before which he was registered with Aegis Capital and Worden Capital Management in Melville and Garden… Read More »
San Jose Rep David Bibo Allegedly Caused 7-Figure REIT Losses
David Bibo (CRD# 2602436), a representative of Western International Securities, is the subject of pending and denied customer complaints. According to the Financial Industry Regulatory Authority, one investor alleges the San Jose stockbroker and investment adviser caused $1.5 million in losses.
Brian Marston: $1.7MM Real Estate Complaint Against Woodbury Rep
Greenwood Village, Colorado stockbroker and investment adviser Brian Marston (CRD# 733083) is involved in pending investor disputes. According to the Financial Industry Regulatory Authority, Marston is currently a representative of Woodbury Financial Services, where he has been registered since 2006.
$3MM Complaint Against Elm Grove Rep Timothy Bartelt
Raymond James stockbroker Timothy Bartelt (CRD# 2501532) is the subject of an investor complaint alleging $3 million in damages. According to the Financial Industry Regulatory Authority, Bartelt is based in the firm’s branch office in Elm Grove, Wisconsin and the complaint against him is still pending.
Michael Shillin: SEC Files SpaceX Charges Against Ex-AGP Rep
Former Altoona stockbroker and investment adviser Michael Shillin (CRD# 5927156) has been named in charges by the Securities and Exchange Commission alleging he deceived his investors. According to the Financial Industry Regulatory Authority, the former Alliance Global Partners representative has also received investor complaints, both pending and settled. Michael Shillin’s BrokerCheck report lists 21… Read More »
Jeffrey Cohen: $2MM Complaint Against Manchester-Based Moloney Rep
Moloney Securities stockbroker Jeffrey Cohen (CRD# 2528929) has received investor complaints alleging he sold unsuitable alternative investments. According to the Financial Industry Regulatory Authority, an entity overseeing broker-dealer firms, Mr. Cohen is associated with Moloney’s branch office in Manchester, Missouri.
Recent Complaints Against Ex-NYC Worden Rep Gregory Bodkin
Gregory Bodkin (CRD# 3008389), previously a stockbroker registered with Worden Capital Management, has received several pending customer complaints. Financial Industry Regulatory Authority records reveal that the former New York City representative is no longer registered as a broker.
Glen Ellyn Rep Charles Kiker Allegedly Caused 7-Figure Losses
Commonwealth Financial Network stockbroker and adviser Charles Kiker (CRD# 2402823) has received a customer complaint alleging more than $4 million in damages. According to the Financial Industry Regulatory Authority, or FINRA, Kiker is located in Glen Ellyn, Illinois.
John Woods: $3 Million in Pending Complaints Against Oppenheimer Rep
Former Atlanta stockbroker and investment adviser John Woods (CRD# 1949233) has received pending customer complaints alleging more than $3 million in damages connected to an alleged Ponzi scheme. Financial Industry Regulatory Authority (FINRA) records show that Woods was previously registered with Oppenheimer & Company.
Michael Leahy: Red Bank Rep Barred Over Alleged Supervisory Failures
Former First Standard Financial Company broker Michael Leahy (CRD# 1899498) has been barred by the Financial Industry Regulatory Authority (FINRA) from acting in any principal capacity, according to FINRA records. Leahy was most recently associated with the firm’s branch office in Red Bank, New Jersey. Michael Leahy’s BrokerCheck report lists two regulatory actions against… Read More »
