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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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 »
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 »
