Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
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 »
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 »
