A recent investor complaint against Greenville, South Carolina financial advisor Wesley Palmer (CRD# 6433982) alleges that his advice resulted in...
Read MoreRecent Blog Posts
Robert Clarke: Complaints Against Texas Broker
Investor complaints against Austin, Texas broker Robert Clarke (CRD#: 735940) allege conduct including suitability violations, supervisory failures, negligence, improper margin use, and other activity undertaken at Ross Sinclaire & Associates and other firms. He is employed with National Alliance Securities in Austin, Texas, where he has been registered since 2017, according to information drawn… Read More »
Richard Reynolds: Complaints, Sanctions Against New York Worden Broker
Investor complaints against Melville, New York broker Richard Reynolds (CRD#: 2162706) allege conduct including suitability violations, supervisory failures, negligence, improper margin use, and other activity undertaken at Worden Capital Management and other firms. He has also been the subject of two disciplinary actions undertaken by state securities regulators, according to information drawn from Financial… Read More »
Gregory Dean: Ex-Worden Advisor Receives Complaints, SEC Sanctions
Investor complaints against the former Rockville Center, Maryland advisor Gregory Dean (CRD# 4922996) allege conduct including suitability violations, supervisory failures, excessive trading, and other activity undertaken at his former member firm, Worden Capital Management. He was also recently barred by the Securities and Exchange Commission from associating with any any broker, dealer, investment adviser,… Read More »
Jon Freeze: Complaints, Sanctions Against Ex-Fortune Financial Services Advisor
Investor complaints against the former Canonsburg, Pennsylvania advisor Jon Freeze (CRD# 2642023) allege conduct including suitability violations and investments sold away from his former firm, Fortune Financial Services. One such complaint alleges damages of $370,000. Freeze was employed with Fortune Financial Services in Canonsburg until 2017, when the Financial Industry Regulatory Authority sanctioned and… Read More »
William Ornstein: Complaints Against Florida GMS Group Broker
Investor complaints against Boca Raton, Florida broker William Ornstein (CRD#: 500470) allege conduct including negligence, breach of fiduciary duty, false representations, fraud, and other activity undertaken at firms including The GMS Group. One such complaint seeks $100,000 in damages. He has been employed at that firm’s Boca Raton location since 2001, according to information… Read More »
FINRA Suspends Financial Advisor to Basketball Players
One of the most well-known financial advisors in the basketball world, Ken Kavanagh, has been suspended by the Financial Industry Regulatory Authority (FINRA). A disciplinary action taken by FINRA against former New York, New York broker and investment advisor Ken Kavanagh suspended him over allegations that he engaged in outside business activities without properly… Read More »
Greg Crance: Complaints Against OneAmerica Broker
Investor complaints against Alabama OneAmerica Securities broker Greg Crance (CRD# 736820) allege activity including disclosure failures and factual misrepresentations. One such complaint reached a settlement of more than $235,000. Crance is employed with OneAmerica Securities in Auburn, Alabama, where he has been employed since 2013, according to information drawn from Financial Industry Regulatory Authority… Read More »
Michael Greenfield: $200,000 Complaint Against Newbridge Broker
Investor complaints against Florida Newbridge Securities Corporation broker Michael Greenfield (CRD# 5406611) allege activity including negligence, breach of contract, unsuitable investments, and more. These include a pending complaint alleging damages of $200,000. Greenfield is employed with Newbridge Securities Corporation in Boca Raton, Florida, where he has been employed since 2017, according to information drawn… Read More »
Benjamin Bourgeois: Former Commonwealth Advisor Barred by Regulator
Former Louisiana Commonwealth Financial Network broker and investment adviser Benjamin Bourgeois (CRD# 2145555) has been barred from acting as a broker or otherwise associating with a broker-dealer firm, as the result of a sanction over allegations involving the potential conversion of firm funds. Bourgeois was employed at Commonwealth Financial Network in Metairie, Louisiana from… Read More »
Marc Greenberg: $15 Million Complaint Against JH Darbie Broker
Pending investor complaints against JH Darbie & Company broker Marc Greenberg (CRD# 2276287) describe activity including supervisory failures and violations of securities rules. One such pending complaint alleges damages of $15 million. Mr. Greenberg is employed with JH Darbie & Company in New York, New York, where he has been employed since 2016, according… Read More »
