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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Ex-LPL Broker John Scott Sanctioned, Barred
Former Phoenix, Arizona broker and investment adviser John Scott (CRD# 2407610) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he participated in undisclosed outside business activities and private securities transactions. Scott was most recently associated with LPL Financial in Phoenix. According to a Letter of Acceptance, Waiver and… Read More »
David Martirosian: NYC Rep Barred Over Trading Allegations
David Martirosian (CRD# 5261144), previously a broker registered with Joseph Stone Capital in New York City, has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he made potentially unsuitable and excessive trades. He has been barred from associating with FINRA member firms. According to a Letter of Acceptance, Waiver… Read More »
Ex-Pruco Rep Fred Rock Suspended, Fined
According to records maintained by the Financial Industry Regulatory Authority (FINRA), former Tampa, Florida broker and investment adviser Fred Rock (CRD# 2548242) was recently sanctioned in connection to allegedly improper private placement transactions. Rock was most recently registered with Pruco Securities. Fred Rock’s BrokerCheck report currently lists one settled investor complaint against him. It… Read More »
Chicago Rep David Geake Has 6-Figure Complaints
David Geake (CRD# 3088891), a broker and investment adviser in Chicago, Illinois, has received several settled or pending investor complaints in recent years. According to records provided by the Financial Industry Regulatory Authority (FINRA), Geake is currently registered with American Trust Investment Services. David Geake’s BrokerCheck report lists a total of four settled investor… Read More »
Andrew Melikidse: $350,000 Complaint Against Studio City Broker
A pending investor complaints against SagePoint Financial broker Andrew Melikidse (CRD# 2353534) alleges losses exceeding $300,000. According to Financial Industry Regulatory Authority (FINRA) records, Melikidse is currently based in Studio City, California. Andrew Melikidse’s BrokerCheck report lists one settled investor complaint and one pending investor complaints against him. Filed in April 2021, the pending… Read More »
Ex-Pinnacle Rep Bill Friedman Suspended by FINRA
Former Boca Raton broker and investment adviser Bill Friedman (CRD# 2475502) was recently recently the subject of a regulatory action suspending him from acting as a broker. Financial Industry Regulatory Authority (FINRA) records show that Friedman, who has also received investor complaints, was most recently registered with Pinnacle Investments. Bill Friedman’s BrokerCheck report currently… Read More »
Bryon Martinsen: Centaurus Rep Allegedly Caused $9MM Losses
According to records maintained by the Financial Industry Regulatory Authority (FINRA), Kings Park, New York broker and investment adviser Bryon Martinsen (CRD# 1621649) has received pending investor complaints alleging his actions resulted in more than $9 million in losses. Martinsen is currently registered with Centaurus Financial. Bryon Martinsen’s BrokerCheck report lists five settled investor… Read More »
Kevin Wilson: $4MM in Complaints Against Worden Rep
New York City broker Kevin Wilson (CRD#: 3262701) has received pending investor complaints alleging his conduct resulted in more than $4 million in cumulative damages. According to records maintained by the Financial Industry Regulatory Authority (FINRA), Wilson is currently registered with Worden Capital Management. Kevin Wilson’s BrokerCheck report currently lists two settled investor complaints… Read More »
David Zuber: Ex-Securities America Broker Barred by FINRA
Former La Vista, Nebraska-based Securities America broker and investment adviser David Zuber (CRD# 3239595) was recently named in a disciplinary action by the Financial Industry Regulatory Authority. He was barred over allegations he refused to appear for testimony in an investigation into allegations, among others, that he made private securities transactions. According to a… Read More »
David Khezri: FINRA Suspends Hauppage Broker
Two pending investor complaints against former Network 1 Financial Securities broker David Khezri (CRD# 2736831) allege cumulative losses of more than $400,000. According to Financial Industry Regulatory Authority (FINRA) records, Khezri was most recently registered with Network 1’s branch office in Hauppage, New York. David Khezri’s BrokerCheck report lists two pending customer complaints against… Read More »
