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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Jon Freeze Charged in Alleged Alternative Energy Holdings Fraud
Former Canonsburg, Pennsylvania broker and investment adviser Jon Freeze (CRD# 2642023) was recently named in a pending Securities and Exchange Commission enforcement action alleging he participated in a fraud involving a company called Alternative Energy Holdings. Financial Industry Regulatory Authority (FINRA) records show that Freeze is currently not registered as a broker or an… Read More »
Frisco Broker Pamela Lizanich: $1.6 Million Complaint
Financial Industry Regulatory Authority (FINRA) records show that NYLife Securities broker Pamela Lizanich (CRD# 5742762) has received multiple settled or pending investor complaints in recent years, including one that alleges damages of $5 million. Lizanich is currently based in Frisco, Texas. Pamela Lizanich’s BrokerCheck report lists a total of five investor complaints against her:… Read More »
William Keeney: $1.8MM Complaint Against Merrill Lynch Rep
William Keeney (CRD# 3082733), a broker and investment adviser located in Newton, Massachusetts, has received a pending customer complaint alleging damages exceeding $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Keeney is currently registered with Merrill Lynch as a broker and an investment adviser. William Keeney’s BrokerCheck report lists one pending investor… Read More »
Keith Simmons: $8MM Complaint Against Merrill Lynch Rep
Miami, Florida-based broker and investment adviser Keith Simmons (CRD# 730619) has received a pending investor complaint alleging losses of $8 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Simmons is currently a registered representative of Merrill Lynch. Keith Simmons FINRA-maintained BrokerCheck report lists a total of four customer complaints against… Read More »
Gerald Dewes: $1.7MM Complaint Against Ex-Cadaret Grant Rep
A pending investor complaint against former East Amherst, New York broker Gerald Dewes (CRD# 2465538) alleges he made unsuitable recommendations and committed fraud, resulting in losses as high as $1.7 million. Financial Industry Regulatory Authority (FINRA) records reveal that Dewes is currently not registered as a broker or investment adviser, but was most recently… Read More »
Roberto Fernandez: Miami Rep Allegedly Caused $1.2MM Loss
A pending investor complaint against Miami, Florida broker and investment adviser Roberto Fernandez (CRD# 1404389) alleges losses of more than $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Fernandez is currently registered with Merrill Lynch. Roberto Fernandez’s BrokerCheck report lists one pending customer complaint and three settled customer complaints against him. The… Read More »
David Wachsman: Morgan Stanley Broker Has $1.6MM Complaint
A pending customer complaint against Garden City, New York and Boca Raton, Florida broker and investment adviser David Wachsman (CRD# 2220024) alleges his conduct led to damages of more than $1 million. Financial Industry Regulatory Authority (FINRA) records show that Wachsman is currently a registered representative of Morgan Stanley. The complaint, filed in January… Read More »
Wilson Saville: $1.6MM Complaint Against Barrett & Co. Broker
Providence, Rhode Island broker and investment adviser Wilson Saville (CRD# 1406756) has received a complaint alleging supervisory failures resulted in losses of more than $1 million. Financial Industry Regulatory Authority (FINRA) records show that Saville is currently a registered representative of Barrett & Company. According to Wilson Saville’s BrokerCheck report, the complaint was filed… Read More »
Triad’s Mark Just Allegedly Recommended Unsuitable Products
Mark Just (CRD# 1138738), a broker and investment adviser located in Indianapolis, has received investor complaints alleging hundreds of thousands of dollars in losses. Records maintained by the Financial Industry Regulatory Authority (FINRA) show that Just is currently a registered representative of Triad Advisors and The Just Company. Mark Just’s BrokerCheck report lists five… Read More »
R. Douglas Armstrong: Dawson James Broker Has $2MM Complaint
According to digital records maintained by the Financial Industry Regulatory Authority (FINRA), Boca Raton broker R. Douglas Armstrong (CRD# 5236735) recently received an investor complaint alleging losses of $2 million. Armstrong is a representative of Dawson James Securities, where he has been registered since 2012. He has also received other pending or settled complaints…. Read More »
