Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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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 »
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 »
