Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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William Thon: Complaints Against Guaynabo Financial Advisor
Settled and pending investor complaints against former Guaynabo, Puerto Rico broker and investment advisor William Thon (CRD#: 1485103) allege conduct including suitability violations, misrepresentations, over-concentration, and more. Thon is a former representative of Merrill Lynch, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as a representative… Read More »
Thomas Logue: Complaints Against Hinsdale, Illinois Advisor
Settled and pending investor complaints against former Hinsdale, Illinois broker and investment advisor Thomas Logue (CRD#: 1700554) allege conduct including suitability violations, misrepresentations, breach of fiduciary duty and more. Logue is a former representative of American Independent Securities Group, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges… Read More »
Scott Reed: Complaints Against Philadelphia Financial Advisor
Settled and pending investor complaints against Philadelphia, Pennsylvania broker Scott Reed (CRD#: 2213108) allege conduct including suitability violations, fraud, inadequate due diligence, misrepresentations, breach of fiduciary duty, and more. Reed is a representative of FS Investment Solutions, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that Scott… Read More »
Bradley Mascho: Complaints Against Frederick, Maryland Advisor
Settled and pending investor complaints against former Frederick, Maryland broker and investment advisor Bradley Mascho (CRD#: 2039720) allege conduct including unsuitable investment recommendations, breach of fiduciary duty, misrepresentations, and more. Mascho is a former representative of Western International Associates, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges… Read More »
Sean Brady: Complaints Against St. Louis Financial Advisor
Settled and pending investor complaints against former St. Louis, Missouri broker Sean Brady (CRD#: 4365173) allege conduct including suitability violations, fraud, misrepresentations, breach of fiduciary duty, and more. Brady is a former representative of First Allied Securities, according to information drawn from Financial Industry Regulatory Authority records. A 2018 complaint alleged that as a… Read More »
Austin Dutton: Complaints Against New York City Financial Advisor
Settled and pending investor complaints against New York City broker Austin Dutton (CRD#: 2739167) allege conduct including negligence, misrepresentation, unsuitable recommendations, breach of fiduciary duty, and more. Dutton is a representative of Primex and a former representative of Newbridge Securities in Doylestown, Pennsylvania, according to information drawn from Financial Industry Regulatory Authority records. A… Read More »
Noel Vincent: Complaints Against Houston Financial Advisor
Settled and pending investor complaints against former Southfield, Michigan broker and investment advisor Noel Vincent (CRD#: 1370987) allege conduct including suitability violations, fraudulent concealment, misrepresentations, negligence, and more. Vincent is a former representative of Madison Avenue Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
Kirk Gill: Complaints Against Tucson Financial Advisor
Settled and pending investor complaints against Tucson, Arizona investment advisor Kirk Gill (CRD#: 2291503) allege conduct including suitability violations, over-concentration, and more. Gill is a former representative of Taylor Capital Management who is currently registered with Triumph Wealth Advisors, according to information drawn from Financial Industry Regulatory Authority and Securities and Exchange Commission records…. Read More »
James Booth: Norwalk Advisor Charged With $4.9mm Ponzi Scheme
The US Department of Justice has announced fraud charges against former Norwalk, Connecticut financial advisor James Booth. Formerly a representative of LPL Financial and Booth Financial Associates, Booth has been charged with the operation of a “multimillion-dollar Ponzi scheme,” according to an indictment unsealed on September 30, 2019. According to the indictment, James Booth… Read More »
John Howley: FINRA Bars Rumson, New Jersey Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Rumson, New Jersey broker John Howley (CRD# 2229244) barred him after finding he failed to provide testimony connected with its investigation into alleged undisclosed private securities transactions. A former representative of Park Avenue Securities, Howley was barred from acting as a broker… Read More »
