Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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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 »
Jim Flynn: Complaints Against Greenville Financial Advisor
Investor complaints against former Greenville, South Carolina broker and investment advisor Jim Flynn (CRD#: 3082615) allege conduct including suitability violations, misrepresentations, and more. Flynn is a former representative of Voya Financial Advisors who was barred in 2018 after failing to respond to a request for information, according to information drawn from Financial Industry Regulatory… Read More »
Laurence Braunstein: Investor Complaints Against NYC Financial Advisor
Investor complaints against former New York City broker and investment advisor Laurence Braunstein (CRD#: 1220577) allege conduct including suitability violations, misrepresentations, and more. Braunstein is a former representative of Janney Montgomery Scott, according to information drawn from Financial Industry Regulatory Authority records. A July 2018 complaint alleged that as a representative of First Allied… Read More »
Alan Siegel: Complaints Against North Easton, Mass. Financial Advisor
Settled and pending investor complaints against North Easton, Massachusetts broker and investment advisor Alan Siegel (CRD#: 2216936) allege conduct including over-concentration, material omissions, suitability violations and more. Siegel has been a representative of GA Repple & Company since 2002, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges… Read More »
David Barber: San Diego Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Diego, California broker David Barber (CRD# 1165082) barred him after finding he refused to provide information connected with FINRA’s investigation into whether he participated in unauthorized trading. A former representative of Madison Avenue Securities, Barber was barred from acting as a… Read More »
Christopher Sinkula: Complaints Against Stuart, FL Financial Advisor
Settled and pending investor complaints against Stuart, Florida broker and investment advisor Christopher Sinkula (CRD#: 2001512) allege conduct including suitability violations, over-concentration, misrepresentations, and more. Sinkula has been a representative of Janney Montgomery Scott since 2008, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as a… Read More »
Carlos Domenech: Investor Complaints Against Leander, Texas Advisor
Settled and pending investor complaints against former Leander, Texas broker Carlos Domenech (CRD#: 3082565) allege conduct including misrepresentations, suitability violations, over-concentration, and more. Domenech is a former representative of Supreme Alliance and UBS Financial Services, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that as a representative… Read More »
John Tarpinian: Investor Complaints Against NYC Financial Advisor
Settled and pending investor complaints against former New York City broker and investment advisor John Tarpinian (CRD#: 1013555) allege conduct including fraud, breach of contract, suitability violations, unauthorized trading, and more. Tarpinian is a former representative of Paulson Investment Company and Newport Coast Securities, according to information drawn from Financial Industry Regulatory Authority records…. Read More »
Joe Yanofsky: Greenwood Village, Colorado Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Greenwood Village, Colorado broker and investment advisor Joe Yanofsky (CRD# 870054) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of First Financial Equity Corporation, Yanofsky was suspended for 20 days and ordered to pay a fine of… Read More »
Theodore Lorenzen: Mayfield Heights Financial Advisor Complaints
Settled and pending investor complaints against Mayfield Heights, Ohio broker and investment advisor Theodore Lorenzen (CRD#: 2044769) allege conduct including fraud, over-concentration, suitability violations, misrepresentation, and more. Lorenzen is a representative of Securities America, where he was registered since 2005, according to information drawn from Financial Industry Regulatory Authority records. A pending complaint filed… Read More »
