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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Sean Parikh: 6-Figure Complaint Against NYC Rep
According to records maintained by the Financial Industry Regulatory Authority (FINRA), former New York City broker Sean Parikh (CRD# 5506554) was recently sanctioned in connection to alleged misconduct and has settled or pending investor complaints. Parikh was most recently registered with Aegis Capital Corp. Sean Parikh’s BrokerCheck report currently lists one settled investor complaint… Read More »
Ex-Cetera Rep Greg McKinney Has $1 Million Investor Complaint
Former Tulsa, Oklahoma broker and investment adviser Greg McKinney (CRD#: 2100850) recently received a pending customer complaint alleging his conduct resulted in $1 million in damages. According to records maintained by the Financial Industry Regulatory Authority (FINRA), McKinney was most recently registered with Cetera Advisors, but he has been barred from acting as a… Read More »
Carmine Berardi: 1st Standard Rep Suspended Over Churning Complaint
Former Red Bank, New Jersey broker and investment adviser Carmine Berardi (CRD# 4879362) has been suspended by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he failed to comply with an award or settlement agreement. Berardi was most recently associated with First Standard Financial Company in Red Bank. Carmine Berardi’s BrokerCheck report… Read More »
Worden Capital’s Jamie Worden Suspended by FINRA
New York City broker Jamie Worden (CRD# 4637404) has been named in several pending investor complaints and a recent regulatory sanction. Financial Industry Regulatory Authority (FINRA) records show that Worden, who was recently suspended by FINRA, is currently registered with his member firm Worden Capital Management. Jamie Worden’s BrokerCheck report currently lists seven pending… Read More »
Douglas Elstun: SEC Fraud Charges Against Kansas Advisor
Former Lenexa, Kansas broker and investment adviser Douglas Elstun (CRD# 2338588) has been named in a pending SEC enforcement action alleging he defrauded his customers. Financial Industry Regulatory Authority (FINRA) records show that Elstun is currently not registered as a broker or an investment adviser, though he was most recently registered with Sigma Financial… Read More »
Bob & Kristine Hartland: Energy Complaint Against Ameriprise Reps
A pending investor complaint against Ameriprise Financial Services brokers and investment advisers Bob Hartland (CRD# 2253564) and Kristine Hartland (CRD# 2101877) alleges losses of $950,000. According to Financial Industry Regulatory Authority (FINRA) records, Bob Hartland is currently registered with Ameriprise’s branch office in Sun City Center, Florida, while Kristine Hartland is registered with the… Read More »
Dustin Shafer: Ex-Money Concepts Rep Has Investor Complaints
Former Springfield, Illinois broker and investment adviser Dustin Shafer (CRD#: 4198962) has received several settled or pending customer complaints in the last several years, including several that settled for six-figure sums.. According to records provided by the Financial Industry Regulatory Authority (FINRA), Shafer was most recently registered with Newbridge Securities Corporation and Money Concepts… Read More »
Stephen Ferencik: Multiple Complaints Against Arkadios Broker
Atlanta broker and investment adviser Stephen Ferencik (CRD#: 3126037) recently received a pending customer complaint alleging his conduct resulted in six-figure losses. According to records maintained by the Financial Industry Regulatory Authority (FINRA), Ferencik is currently registered with Arkadios Capital and Arkadios Wealth Advisors. Stephen Ferencik’s BrokerCheck report currently lists four settled investor complaints… Read More »
Ameriprise’s Mark Barrand Has Northstar Complaints
According to records maintained by the Financial Industry Regulatory Authority (FINRA), Denver, Colorado and Pleasant Grove, Utah broker and investment adviser Mark Barrand (CRD# 4586528) has received multiple settled or pending investor complaints alleging his conduct resulted in losses. Barrand is currently registered with Ameriprise Financial Services. Mark Barrand’s BrokerCheck report lists four settled… Read More »
Damian Bell: Ex-WFG Rep Has 6-Figure Complaints
Daphne, Alabama broker and investment adviser Damian Bell (CRD# 2348521) has received resolved or pending investor complaints alleging his conduct led to losses, including two that resolved with $5 million awards to the customers. According to records provided by the Financial Industry Regulatory Authority (FINRA), Bell is currently registered with International Assets Advisory. Damian… Read More »
