Santa Barbara, California financial advisor Brett Weichbrod (CRD# 4595377) recently received an investor complaint alleging that his conduct resulted in...
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Dominic Tropiano: FINRA Bars Former America Northcoast Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cleveland, Ohio broker and investment advisor Dominic Tropiano (CRD# 4761462) barred him over allegations he recommended non-traditional exchange-traded fund transactions without a basis to believe they were suitable for his customers. A former representative of America Northcoast Securities, Tropiano was indefinitely barred… Read More »
David Strnad: Former Wells Fargo Advisor Sanctioned Over Unauthorized trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Nashville, Tennessee broker and investment adviser David Strnad (CRD# 1982721) suspended him over allegations he executed unauthorized transactions in the account of an elderly customer of his former member firm, Wells Fargo Clearing Services. Strnad was fined $10,000 and suspended from acting… Read More »
Frank Kelly: Pennsylvania HD Vest Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against New Cumberland, Pennsylvania broker Frank Kelly (CRD# 2028226) suspended him over allegations he executed an unauthorized trade in the account of a customer at his member firm. A representative of HD Vest Investment Services, Kelly was fined $5,000 and suspended from acting as… Read More »
Michael Carter: FINRA Suspends Former Foresters Equity Advisor Over Woodbridge Note
A disciplinary action taken by the Financial Industry Regulatory Authority against former Henderson, Nevada broker and investment advisor Michael Carter (CRD# 2882478) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Foresters Equity Services, Carter was fined $5,000 and suspended from acting as a broker for… Read More »
Mike Dowden: Harger and Company Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Baton Rouge, Louisiana broker and investment advisor Mike Dowden (CRD# 4089978) suspended him over allegations he submitted partially completed variable annuity transaction forms to his member firm, Harger & Company. Dowden was fined $10,000 and suspended from acting as a broker for two… Read More »
Lisa Lastrapes: Former Merrill Lynch Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Richardson, Texas broker and investment advisor Lisa Lastrapes (CRD# 2739854) suspended her over allegations that she failed to disclose to her former broker-dealer firm, Merrill Lynch, that her adult daughter had been named beneficiary on the IRA account of an elderly client,… Read More »
Steven Cooper: FINRA Suspends California UBS Advisor Over Mutual Fund Trades
A disciplinary action taken by the Financial Industry Regulatory Authority against former Century City, California broker and investment advisor Steven Cooper (CRD# 4879645) suspended him over allegations that he recommended unsuitable mutual fund trades. A former representative of UBS Financial Services, Cooper was fined $5,000 and suspended from acting as a broker for two… Read More »
Mikey Tanha: California Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Beverly Hills, California broker and investment advisor Mikey Tanha (CRD# 6022108) suspended him over allegations that he participated in outside business activities without properly notifying his member firm, Merrill Lynch. Tanha was fined $15,000 and suspended from acting as a broker for… Read More »
Ron Blasczyk: FINRA Suspends Wisconsin Wells Fargo Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Green Bay, Wisconsin broker and investment advisor Ron Blasczyk (CRD# 3065429) suspended him over allegations that he recommended unsuitable variable annuity products to an elderly customer of his member firm, Wells Fargo Clearing Services. Blasczyk was fined $10,000 and suspended from acting as… Read More »
Sudesh Jain: Complaints Against Florida MML Advisor
Investor complaints against MML Investors Services broker and investment advisor Sudesh Jain (CRD# 1325905) allege conduct including suitability violations, misrepresentations, and more by the Orlando, Florida-based representative. Mr. Jain has been registered with the firm since 2017, according to information drawn from the Financial Industry Regulatory Authority. Sudesh Jain allegedly recommended an investment in… Read More »
