Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Thomas Diamante: FINRA Investigates SW Financial Advisor
The Financial Industry Regulatory Authority is investigating Melville, New York broker Thomas Diamante (CRD# 1645257). FINRA records show that the SW Financial representative allegedly made misrepresentations and engaged in fraud, though he denies the allegations.
Alvery Bartlett: $10 Million Complaint Against Clayton Advisor
A pending investor complaint against Clayton, Missouri broker Alvery Bartlett (CRD# 13975) seeks $10 million in damages. Financial Industry Regulatory Authority records show that the Aegis Capital representative has previously received investor complaints that reached settlements.
Daniel Mann: GPB Complaint Against Cornerstone Wealth Advisor
Daniel Mann (CRD# 4592568), a broker and financial advisor in Las Vegas, has received a pending investor complaint alleging his actions caused six-figure losses. Financial Industry Regulatory Authority records show that he is a representative of Independent Financial Group, doing business as Cornerstone Wealth Management.
Robert McNamara: Cadaret Grant Advisor Sanctioned for Discretion Use
Albany broker Robert McNamara (CRD# 1207495) has twice been sanctioned by the Financial Industry Regulatory Authority in relation to findings that he exercised discretion without proper authorization. FINRA records show that he is a representative of Cadaret Grant & Company and was recently issued a 30-day suspension from acting as a broker.
Ameriprise Advisor Mark Lott Under Investigation by Everspire
Mark Lott (CRD# 5015817), a broker and financial advisor in Sandy, Utah, resigned from his former broker-dealer firm amidst allegations of policy violations. Financial Industry Regulatory Authority records show that he is now a representative of Ameriprise Financial Services.
Chad Barancyk: $1.8mm in Complaints Against Great Point Capital Rep
Chicago broker Chad Barancyk (CRD# 4921433) has received eight pending investor complaints alleging his recommendations caused almost $2 million in losses. Financial Industry Regulatory Authority records show that he is a representative of Great Point Capital and was formerly a representative of First Allied Securities.
Ken Daley: $100K REIT Complaint Against Allstate Advisor
Allstate Financial Services representative Ken Daley (CRD# 1774653) allegedly committed fraud relating to the sale of a non-traded real estate investment trust (REIT), according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is based in Boynton Beach, Florida.
Oil & Gas Complaint Against Rockland Advisor Christopher Cavallaro
Christopher Cavallaro (CRD# 2125009), a broker and investment advisor in Rockland, Massachusetts, has received a pending investor complaint concerning an oil and gas investment. Financial Industry Regulatory Authority (FINRA) records show that Cavallaro is a representative of LPL Financial, doing business as Integrated Financial Partners.
Ned Lubell: West Palm Beach Advisor Has Suitability Complaint
UBS Financial Services representative Ned Lubell (CRD# 2449026) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a stockbroker and investment advisor based in West Palm Beach, Florida.
Deerfield Beach Rep Mark Bushkin Allegedly Made Unauthorized Trades
Deerfield Beach, Florida broker and financial advisor Mark Bushkin (CRD# 2051696) recently received an investor complaint that settled for more than $50,000, according to Financial Industry Regulatory Authority records. He is a representative of Bushkin Financial Services, which offers securities through Avantax Investment Services.
