Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Columbus Broker Bob Meyers Sanctioned: Private Equity Trades
Former Wells Fargo Clearing Services broker Bob Meyers (CRD# 1409245), who is currently registered as an investment adviser with Meyers Wealth Management in Columbus, Ohio, was recently the subject of a FINRA sanction over allegations he exercised engaged in undisclosed and unapproved private securities transactions. Meyers was issued a 12-month suspension and a fine… Read More »
Jennifer McKay: FINRA Sanctions Merrill Lynch Advisor
The Financial Industry Regulatory Authority recently sanctioned former Glen Rock, New Jersey broker/adviser Jennifer McKay (CRD# 6637784) over allegations she she altered customer documents. Previously a representative of Merrill Lynch, Cramer was issued a three-month suspension and a fine of $5,000. According to a Letter of Acceptance, Waiver and Consent (No. 2017056524801) dated October… Read More »
El Paso Broker Steve Yellen Suspended, Fined $25,000
Former Ameriprise Financial Services broker/adviser Steve Yellen (CRD# 1281663) has been sanctioned by the Financial Industry Regulatory Authority over allegations he improperly exercised discretion in his customers’ accounts. Previously registered at the firm’s office in El Paso, Texas, Yellen was issued a yearlong suspension and a fine of $25,000. According to a Letter of… Read More »
Jose Cornide of UBS Complaints Regarding Options Overlay Strategy
Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative misrepresented and recommended an unsuitable options overlay strategy. Information drawn from Financial Industry Regulatory Authority records reflects investor complaints for damages between $500,000 and $10 million. The complaints all appear to relate to the… Read More »
Dennis Mehringer: FINRA Bars Pasadena Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Pasadena, California broker and investment advisor Dennis Mehringer (CRD# 722569) barred him after finding he failed to provide testimony connected with its investigation into possible unsuitable trading. A former representative of Western International Securities, Mehringer was barred from acting as a broker… Read More »
Mariondy Fernandez: Complaints Against Dorchester Financial Advisor
Settled and pending investor complaints against former Dorchester, Massachusetts broker Mariondy Fernandez (CRD#: 2391134) allege conduct including fraud, breach of fiduciary duty, over-concentration, and more. Fernandez is a former representative of Santander Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges violations of securities laws and rules,… Read More »
Gary Meier: Complaints Against Vancouver Financial Advisor
Settled and pending investor complaints against former Vancouver, Washington broker and investment advisor Gary Meier(CRD#: 1591561) allege conduct including suitability violations, breach of fiduciary duty, negligence, and more. Meier is a former representative of Cambridge Investment Research, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
Barry Speyer: Complaints Against Beverly Hills Financial Advisor
Settled and pending investor complaints against Beverly Hills, California broker and investment advisor Barry Speyer (CRD#: 432002) allege conduct including suitability violations, unauthorized trading, and more. Speyer is a representative of Morgan Stanley, according to information drawn from Financial Industry Regulatory Authority records. A pending August 2019 complaint alleges that as a representative of… Read More »
Debra Bourne: Complaints Against Red Bank Financial Advisor
Pending investor complaints against former Red Bank, New Jersey broker Debra Bourne (CRD#: 1352344) allege conduct including unsuitable investment recommendations, excessive trading, breach of fiduciary duty, and more. Bourne is a former representative of First Standard Financial Company, Oppenheimer & Company, and National Securities Corporation, according to information drawn from Financial Industry Regulatory Authority… Read More »
Boca Raton Advisor Karl Foust: Investor Complaints
Settled and pending investor complaints against former Boca Raton, Florida broker and investment advisor Karl Foust (CRD#: 1010291) allege conduct including suitability violations, failure to disclose conflicts of interest, misrepresentations, and more. Foust is a former representative of HD Vest Investment Services, according to information drawn from Financial Industry Regulatory Authority records. A pending… Read More »
