Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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N. Gary Price: Complaints Against Gig Harbor Financial Advisor
Settled and pending investor complaints against former Gig Harbor, Washington broker and investment advisor N. Gary Price (CRD#: 2406981) allege conduct including unsuitable recommendations, fraudulent investments, conflicts of interest, and more. Price is a former representative of RP Capital Group, where he was registered from 2005 until 2016, according to information drawn from Financial… Read More »
Elvis Parkes: Investor Complaints Against New York City Adviser
Investor complaints against New York City financial adviser Elvis Parkes (CRD#: 2358223) allege conduct including unsuitable recommendations, unauthorized trading, and excessive transactions. Parkes is a representative of Reid & Rudiger, where he has been registered since 2008, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that as… Read More »
Carl Cornaglia: Complaints Against Jeffersonville Financial Advisor
Investor complaints against Jeffersonville, Indiana broker and investment advisor Carl Cornaglia (CRD#: 3067666) allege conduct including suitability violations, breach of fiduciary duty, negligence, breach of contract, and other activity. Cornaglia is a representative of Kovack Securities, where he has been registered since 2017, according to information drawn from Financial Industry Regulatory Authority records. A… Read More »
Jon Freeze: Canonsburg, Pennsylvania Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Canonsburg, Pennsylvania broker and investment advisor Jon Freeze (CRD# 2642023) barred him after finding he refused to provide information connected with FINRA’s investigation of his variable annuity recommendations. A former representative of Fortune Financial Services, Freeze was barred from acting as a… Read More »
Derrick Trussell: San Antonio Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Antonio, Texas broker and investment advisor Derrick Trussell (CRD# 5197550) barred him after finding he refused to provide information in connection with a FINRA investigation into possible misconduct. A former representative of PFS Investments, Trussell was barred from acting as a… Read More »
Oscar Francis: SEC Bars Fort Lauderdale Financial Advisor
A disciplinary action taken by the Securities and Exchange Commission (SEC) against former Fort Lauderdale, Florida broker and investment advisor Oscar Francis (CRD# 5094722) barred him in connection to allegations he devised a scheme to defraud his clients out of more than $600,000 in funds. A former representative of MML Investors Services, Francis was… Read More »
Thomas Parker: Brentwood, Tennessee Financial Advisor Censured by SEC
A disciplinary action taken by the Securities and Exchange Commission (SEC) against Brentwood, Tennessee broker and investment advisor Thomas Parker (CRD# 356789) barred him over allegations he breached his fiduciary duty and provided inadequate disclosures in the connection with his mutual fund share class selection practices. A representative of Thoroughbred Financial Services, Parker was… Read More »
Wills Henriquez: Brooklyn Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Brooklyn, New York broker Wills Henriquez (CRD# 1872198) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A former representative of Network 1 Financial Securities, Henriquez was suspended for 45 days and ordered to pay a fine of $7,500…. Read More »
Andrew Lowe: FINRA Suspends Centre, Alabama Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Centre, Alabama broker and investment advisor Andrew Lowe (CRD# 4636118) suspended him over allegations he engaged in unsuitable trading of Class A mutual fund shares. A former representative of Dempsey Lord Smith, Lowe was suspended for nine months and ordered to pay… Read More »
Michael Spolar: FINRA Suspended Orlando Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Orlando, Florida broker and investment advisor Michael Spolar (CRD# 2192992) suspended him over allegations he improperly exercised discretionary authority in client accounts. A former representative of International Assets Advisory, Spolar was suspended for 15 months. According to a Letter of Acceptance, Waiver… Read More »
