Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged...
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Austin Dutton: Complaints Against New York City Financial Advisor
Settled and pending investor complaints against New York City broker Austin Dutton (CRD#: 2739167) allege conduct including negligence, misrepresentation, unsuitable recommendations, breach of fiduciary duty, and more. Dutton is a representative of Primex and a former representative of Newbridge Securities in Doylestown, Pennsylvania, according to information drawn from Financial Industry Regulatory Authority records. A… Read More »
Noel Vincent: Complaints Against Houston Financial Advisor
Settled and pending investor complaints against former Southfield, Michigan broker and investment advisor Noel Vincent (CRD#: 1370987) allege conduct including suitability violations, fraudulent concealment, misrepresentations, negligence, and more. Vincent is a former representative of Madison Avenue Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
Kirk Gill: Complaints Against Tucson Financial Advisor
Settled and pending investor complaints against Tucson, Arizona investment advisor Kirk Gill (CRD#: 2291503) allege conduct including suitability violations, over-concentration, and more. Gill is a former representative of Taylor Capital Management who is currently registered with Triumph Wealth Advisors, according to information drawn from Financial Industry Regulatory Authority and Securities and Exchange Commission records…. Read More »
James Booth: Norwalk Advisor Charged With $4.9 Ponzi Scheme
The US Department of Justice has announced fraud charges against former Norwalk, Connecticut financial advisor James Booth. Formerly a representative of LPL Financial and Booth Financial Associates, Booth has been charged with the operation of a “multimillion-dollar Ponzi scheme,” according to an indictment unsealed on September 30, 2019. According to the indictment, James Booth… Read More »
John Howley: FINRA Bars Rumson, New Jersey Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Rumson, New Jersey broker John Howley (CRD# 2229244) barred him after finding he failed to provide testimony connected with its investigation into alleged undisclosed private securities transactions. A former representative of Park Avenue Securities, Howley was barred from acting as a broker… Read More »
Clay Erickson: FINRA Suspends Salt Lake City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Salt Lake City, Utah broker Clay Erickson (CRD# 1583644) suspended him over allegations he executed unauthorized variable annuity transactions. A former representative of Hornor Townsend & Kent, Erickson was suspended for 9 months and issued a fine of $7,500. According to a… Read More »
Michael Carter: FINRA Bars McLean, Virginia Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former McLean, Virginia broker and investment advisor Michael Carter (CRD# 3232017) barred him after finding he failed to provide information connected with its investigation into misconduct allegations against him. A former representative of Morgan Stanley, Carter was barred from acting as a broker… Read More »
Craig Siegel: Complaints Against New York City Financial Advisor
Settled and pending investor complaints against former New York City broker Craig Siegel (CRD#: 5759415) allege conduct including suitability violations, negligence, breach of contract, churning, and more. Siegel is a former representative of Portfolio Advisors Alliance, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that as a… Read More »
Jeffrey Schwebach: FINRA Suspends Dell Rapids Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dell Rapids, South Dakota broker and investment advisor Jeffrey Schwebach (CRD# 1606537) suspended him over allegations he participated in private securities transactions without notifying his member firm or receiving its approval. A former representative of Independent Financial Group, Jeffrey Schwebach was suspended… Read More »
Mark Raezer: FINRA Suspends Aurora Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Aurora, Colorado broker Mark Raezer (CRD# 6439772) suspended him over allegations he engaged in unapproved private securities transactions. A former representative of Taylor Capital Management, Raezer was suspended for 10 months and issued a fine of $15,000. According to a Letter of… Read More »
