Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
Read MoreRecent Blog Posts
Bryan Clark: FINRA Bars Atascadero, California Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Atascadero, California broker and investment advisor Bryan Clark (CRD# 2987321) barred him after finding he failed to appear for testimony connected with its investigation of allegations he engaged in private securities transactions. A former representative of Madison Avenue Securities, Clark was barred… Read More »
Roger Owens: Elkton, Maryland Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Elkton, Maryland broker Roger Owens (CRD# 2359204) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A former representative of Cetera Advisors, Owens was suspended for 12 months and ordered to pay a fine of $10,000. According to a… Read More »
Michael Nixon: Tampa Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Tampa, Florida broker and investment advisor Michael Nixon (CRD# 2169631) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of Paulson Investment Company, Nixon was suspended for 15 days and ordered to pay a fine of $5,000. According… Read More »
Scott Riley: Minneapolis Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Hooksett, New Hampshire broker and investment advisor Scott Riley (CRD# 5178446) suspended him over allegations he engaged in unauthorized trading. A representative of Edward Jones, Riley was suspended for three months. According to a Letter of Acceptance, Waiver and Consent (No. 2017055611501) dated… Read More »
Craig Zabala: FINRA Bars New York City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Craig Zabala (CRD# 5653949) barred him after finding he failed to provide documents and information connected with its examination of allegations he engaged in private securities transactions. A former representative of John W. Loofbourrow Associates, Zabala was barred… Read More »
Arlyn Stokesbary: Slayton, Minnesota Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Slayton, Minnesota broker and investment advisor Arlyn Stokesbary (CRD# 1717430) suspended him over allegations he improperly exercised discretion in 20 customers’ accounts. A former representative of Thrivent Investment Management, Stokesbary was suspended for 15 days and ordered to pay a fine of… Read More »
Vitthal Patel: Denville, New Jersey Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Denville, New Jersey broker and investment advisor Vitthal Patel (CRD# 1775477) suspended him over allegations he forged customer signatures. A former representative of PFS Investments, Patel was suspended for six months and ordered to pay a fine of $5,000. According to a… Read More »
Luis Gonzalez: Complaints Against San Juan Financial Advisor
Settled and pending investor complaints against former San Juan, Puerto Rico broker Luis Gonzalez (CRD#: 2778967) allege conduct including suitability violations, over-concentration, misrepresentations, and more. Gonzalez is a former representative of UBS Financial Services, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleged that as a representative of… Read More »
Frank Hamrak: Complaints Against New York City Financial Advisor
Investor complaints against former New York City broker and investment advisor Frank Hamrak (CRD#: 1385077) allege conduct including unsuitable investment recommendations, breach of contract, negligence, and more. Hamrak is a former representative of Beech Hill Securities, according to information drawn from Financial Industry Regulatory Authority records. A 2018 complaint alleged that as a representative… Read More »
Mark Augusta: Complaints Against Del Mar, California Financial Advisor
Settled and pending complaints against Del Mar, California broker and investment advisor Mark Augusta (CRD#: 1333913) allege conduct including unauthorized trading, unsuitable investment recommendations, negligence, and more. Augusta is a representative of Hilltop Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleged that as a representative of… Read More »
