Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Michael Bressman: SEC Complaint Against Chatham Financial Advisor
A pending civil complaint by the Securities and Exchange Commission against former Chatham, New Jersey broker and investment advisor Michael Bressman (CRD# 873973) alleges he participated in a fraudulent investment scheme that generated ill-gotten gains of at least $700,000. A former representative of FCG Advisors, Bressman is currently not registered with any FINRA member… Read More »
David Silberg: Garden City Financial Advisor Sanctioned
A disciplinary action taken by state securities authorities against Garden City, New York broker and investment advisor David Silberg (CRD# 1970484) sanctioned him in connection to allegations of forgery, misrepresentations, unauthorized trading, and more. A representative of Allied Millennial Partners, Silberg was placed on heightened supervision for two years. Dated September 2018, the action… Read More »
GPB Holdings Complaints: Madison Avenue, Bankers Life Securities
Two broker-dealer firms have come under scrutiny for their role in selling investments in GPB Capital Holdings, according to a September 25, 2019 report by the Press Herald. Madison Avenue Securities, headquartered in San Diego, California, and Bankers Life Securities, headquartered in Chicago, Illinois have received complaints alleging they recommended unsuitable investments in the… Read More »
John Torres: Complaints Against Woodland Hills Financial Advisor
Settled and pending complaints against former Woodland Hills, California broker and investment advisor John Torres (CRD#: 6322231) allege conduct including misappropriation and misrepresentation. Torres is a former representative of JP Morgan Securities who has been barred from associating with Financial Industry Regulatory Authority (FINRA) member firms, according to information drawn from FINRA records. A… Read More »
Stephen Williams: Madison, Alabama Financial Advisor Complaints
Settled and pending complaints against Madison, Alabama broker and investment advisor Stephen Williams (CRD#: 2395948) allege conduct including suitability violations, misrepresentations, and more. Williams is a representative of Next Financial Group, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that as a representative of Next Financial Group,… Read More »
Genevieve Mar: Complaints Against Northbrook Financial Advisor
Settled and pending complaints against Northbrook, Illinois broker and investment advisor Genevieve Mar (CRD#: 2744037) allege conduct including suitability violations, misrepresentations, fraud, and more. Mar is a representative of Berthel Fisher & Company Financial Services, according to information drawn from Financial Industry Regulatory Authority records. A pending May 2019 complaint alleges that as a… Read More »
Ronald Rothchild: Complaints Against Melville, NY Financial Advisor
Investor complaints against Melville, New York broker and investment advisor Ronald Rothchild (CRD#: 4491932) allege conduct including negligence, unsuitable recommendations, misrepresentations, and more. Rothchild is a representative of National Securities Corporation, according to information drawn from Financial Industry Regulatory Authority records. A 2018 complaint alleged that as a representative of Raymond James Financial Services,… Read More »
Peter Cunningham: Complaints Against Beverly Hills Financial Advisor
Investor complaints against Beverly Hills, California broker and investment advisor Peter Cunningham (CRD#: 2400211) allege conduct including unsuitable transactions, negligence, misrepresentation, and more. A representative of Stockcross Financial Services, Cunningham was recently sanctioned by Massachusetts securities regulators over alleged short-term UIT trading, according to information drawn from Financial Industry Regulatory Authority records. The 2018… Read More »
Thomas Kelly: Complaints Against New York City Financial Advisor
Settled and pending complaints against New York City broker and investment advisor Thomas Kelly (CRD#: 2877415) allege conduct including unauthorized trading, negligence, suitability violations, and more. Kelly is a former representative of National Securities Corporation, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 alleges that as a representative of… Read More »
Eric Stubbe: $2 Million Complaint Against Dorchester Financial Advisor
Investor complaints against former Dorchester, Massachusetts broker and investment advisor Eric Stubbe (CRD#: 1499212) allege conduct including fraud, deceit, recklessness, suitability violations, and more. Stubbe is a former representative of Santander Securities, according to information drawn from Financial Industry Regulatory Authority records. A 2017 complaint alleged that as a representative of Santander Securities, Eric… Read More »
