Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Vitthal Patel: Denville, New Jersey Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Denville, New Jersey broker and investment advisor Vitthal Patel (CRD# 1775477) suspended him over allegations he forged customer signatures. A former representative of PFS Investments, Patel was suspended for six months and ordered to pay a fine of $5,000. According to a… Read More »
Luis Gonzalez: Complaints Against San Juan Financial Advisor
Settled and pending investor complaints against former San Juan, Puerto Rico broker Luis Gonzalez (CRD#: 2778967) allege conduct including suitability violations, over-concentration, misrepresentations, and more. Gonzalez is a former representative of UBS Financial Services, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleged that as a representative of… Read More »
Frank Hamrak: Complaints Against New York City Financial Advisor
Investor complaints against former New York City broker and investment advisor Frank Hamrak (CRD#: 1385077) allege conduct including unsuitable investment recommendations, breach of contract, negligence, and more. Hamrak is a former representative of Beech Hill Securities, according to information drawn from Financial Industry Regulatory Authority records. A 2018 complaint alleged that as a representative… Read More »
Mark Augusta: Complaints Against Del Mar, California Financial Advisor
Settled and pending complaints against Del Mar, California broker and investment advisor Mark Augusta (CRD#: 1333913) allege conduct including unauthorized trading, unsuitable investment recommendations, negligence, and more. Augusta is a representative of Hilltop Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleged that as a representative of… Read More »
Michael Bressman: SEC Complaint Against Chatham Financial Advisor
A pending civil complaint by the Securities and Exchange Commission against former Chatham, New Jersey broker and investment advisor Michael Bressman (CRD# 873973) alleges he participated in a fraudulent investment scheme that generated ill-gotten gains of at least $700,000. A former representative of FCG Advisors, Bressman is currently not registered with any FINRA member… Read More »
David Silberg: Garden City Financial Advisor Sanctioned
A disciplinary action taken by state securities authorities against Garden City, New York broker and investment advisor David Silberg (CRD# 1970484) sanctioned him in connection to allegations of forgery, misrepresentations, unauthorized trading, and more. A representative of Allied Millennial Partners, Silberg was placed on heightened supervision for two years. Dated September 2018, the action… Read More »
GPB Holdings Complaints: Madison Avenue, Bankers Life Securities
Two broker-dealer firms have come under scrutiny for their role in selling investments in GPB Capital Holdings, according to a September 25, 2019 report by the Press Herald. Madison Avenue Securities, headquartered in San Diego, California, and Bankers Life Securities, headquartered in Chicago, Illinois have received complaints alleging they recommended unsuitable investments in the… Read More »
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 »
