Federal prosecutors have filed a civil fraud complaint against Trevor Uhls, a Lee’s Summit, Missouri resident, alleging that he is...
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Daniel Diaz: Merrill Lynch Fires Miami Advisor
Former Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently terminated from his member firm in connection with alleged rule violations, according to a report by AdvisorHub. Financial Industry Regulatory Authority records show that he was previously registered with Merrill Lynch.
Linda Sokol Francis: FINRA Bars Ex-LPL Advisor
Former Brookfield, Illinois financial advisor Linda Sokol Francis (CRD# 811073) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was previously registered as a broker with LPL Financial and Waddell & Reed.
Michael Dugan: FINRA Suspends Ex-Spartan, Alexander Capital Advisor
Staten Island financial advisor Michael Dugan (CRD# 2824966) was recently sanctioned and suspended in connection with allegations that he recommended unsuitable transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital, having previously been registered with Craft Capital Management and Spartan Capital Securities.
Gregory Whelan: Why Did Merrill Lynch Advisor Resign?
Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) recently resigned from Merrill Lynch in connection with allegations of selling away. Financial Industry Regulatory Authority records show that he has also received an investor complaint that reached a settlement of more than $3 million.
John Palma: $500K Complaint Against Barred SW Financial Advisor
Former New York City financial advisor John Palma (CRD# 6848651) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, having previously been registered with SW Financial and Worden Capital.
Carlson Law Representing Clients of Edwin and Mike Lickiss
Carlson Law is representing approximately 20 clients of Edwin and Mike Lickiss, who may have lost nearly $12 million in promissory notes offered by Edwin Lickiss. Edwin Lickiss, who also goes by “Michael” or “Mike” Lickiss was acting as a financial advisor with his son, Michael Lickiss. He offered promissory notes to investors at… Read More »
Derek Copeland: FINRA Bars Ex-LPL, SilverRock Advisor
Former Charlotte, North Carolina financial advisor Derek Copeland (CRD# 4347572) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as SilverRock Wealth Partners. A Letter of Acceptance, Waiver, and Consent (No. 2023077756701)… Read More »
Martin Barth: FINRA Suspends Ex-SW Financial Advisor
Former Melville, New YOrk financial advisor Martin Barth (CRD# 1030462) was recently sanctioned and suspended in connection with allegations that he misrepresented private placement offerings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with NI Advisors, having previously been registered with SW Financial.
Joseph Cannon: $2mm Complaint Against Barred Northwestern Advisor
Former Chicago, Illinois financial advisor Joseph Cannon (CRD# 6341199) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Northwestern Mutual Investment Services broker has also received an investor complaint alleging seven-figure damages.
Martin Barwikowski: FINRA Bars Ex-Stirlingshire Advisor
Former New York City financial advisor Martin Barwikowski (CRD# 5257475) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Stirlingshire Investments and Spartan Capital.
