Former Horsham, Pennsylvania financial advisor Gerald Page (CRD# 7577838) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreRecent Blog Posts
Joe Kelly: FINRA Investigates Ex-Spartan Advisor
New York City financial advisor Joe Kelly (CRD# 4560737) made excessive and unauthorized trades, according to a regulatory investigation. Financial Industry Regulatory Authority records show that he is registered as a broker with VCS Venture Securities, having previously been registered with Spartan Capital Securities.
Celia Zhang: Suitability Complaint Against Ex-Cetera Advisor
San Gabriel, California financial advisor Celia Zhang (CRD# 5918387) allegedly recommended unsuitable investments, according to investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Independent Financial Group, doing business as Sunrise Investment Capital.
Muhammed Wahdy: FINRA Fines, Suspends Ex-Merrill Advisor
Former San Francisco financial advisor Muhammed Wahdy (CRD# 6266210) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with Wahdy Capital.
Richard Altman: $340K Theft Complaint Against Merrill Advisor
Jacksonville, Florida financial advisor Richard Altman (CRD# 6573517) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Will Tenpenny: Edward Jones Advisor Lands 6-Figure Complaint
Spring Hill, Tennessee financial advisor Will Tenpenny (CRD# 5606390) allegedly executed a fraudulent transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Bruce Galbraith: $444K Complaint Against Siebert Financial Advisor
Seal Beach, California financial Bruce Galbraith (CRD# 1412992) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Muriel Siebert & Company and an investment advisor with Siebert AdvisorNXT. Both companies are wholly owned subsidiaries of Siebert… Read More »
Isaiah Williams: FINRA Bars Ex-Merrill Lynch Advisor
Former Boca Raton financial advisor Isaiah Williams (CRD# 6211219) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch, until his resignation in 2024.
Bill Conn: FINRA Suspends Ex-Raymond James Advisor
Former San Francisco financial advisor Bill Conn (CRD# 1477107) was recently sanctioned in connection with allegations of unauthorized trades and an improper client loan. Financial Industry Regulatory Authority records show that the former Raymond James broker is currently registered as an investment advisor with International Assets Investment Management.
Karen Briggs: $259K Complaint Against Ex-LPL Advisor
A recent investor complaint against former Edmonds, Washington financial advisor Karen Briggs (CRD# 1100275) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with LPL Financial, doing business as Householder Group Estate & Retirement Specialists.
Joel Woods: Ex-Legacy Financial Advisor Faces $750K Complaint
Former Fort Worth, Texas financial advisor Joel Woods (CRD# 1470780) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with LPL Financial, doing business as Legacy Financial Services.
