Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Jilena Mok: Unauthorized Trading Allegations Against Aegis Advisor
San Francisco financial advisor Jilena Mok (CRD# 6115674) was recently sanctioned and suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Edward Jones.
Joe Gainer: FINRA Bars Ex-Wells Fargo Advisor
Former Marianna, Florida financial advisor Joe Gainer (CRD# 4517367) was recently sanctioned and barred from acting as a broker in connection with allegations involving a gift from a client. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
David Stuart: Why Did FINRA Suspend Ex-Lincoln Advisor?
Former Cherry Hill, New Jersey financial advisor David Stuart (CRD# 857819) was recently sanctioned and suspended in connection with allegations of improper commission-sharing. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Lincoln Financial Advisors Corporation.
R. Gregory Fisher: FINRA Suspends Ex-SagePoint Advisor
Travis City, Michigan financial advisor R. Gregory Fisher (CRD# 3230753) was recently sanctioned and suspended in connection with allegations he violated his member firm’s policies and procedures. Financial Industry Regulatory Authority records show that he is currently registered as a broker with McNally Financial Services Corporation, having previously been registered with SagePoint Financial.
Robert Golding: FINRA Bars Former Pruco Securities Advisor
Former Alpena, Michigan financial advisor Robert Golding (CRD# 5324763) was recently sanctioned and barred from acting as a broker following an investigation into alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Pruco Securities and that he has received an investor complaint.
Forrest Wester: Wells Fargo Advisor Faced Misappropriation Allegations
Former Midland, Texas financial advisor Forrest Wester (CRD# 2559502) was recently sanctioned and barred from acting as a broker in connection with allegations that he stole funds from a client. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Malay Kumar: FINRA Suspends Cambridge Advisor
Former Mason, Ohio financial advisor Malay Kumar (CRD# 2482909) was recently sanctioned and suspended in connection with allegations of unsuitable variable annuity transactions. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cambridge Investment Research.
Rob Silvestri: Aegis Advisor Sanctioned After Loan Allegations
Former Dallas financial advisor Rob Silvestri (CRD# 2037669) was recently sanctioned in connection with alleged rule violations and barred from acting as a broker. Financial Industry Regulatory Authority records show that he was last registered with Aegis Capital Corporation, doing business as Silvestri Asset Management.
Hector Hernandez: FINRA Bars Ex-Money Concepts Advisor
Former San Antonio, Texas financial advisor Hector Hernandez (CRD# 4654126) was recently sanctioned and barred from acting as a broker. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Peak Brokerage Services, having previously been registered with Money Concepts Capital Corporation.
Arthur McQuaide, Ex-Spartan Advisor, Sanctioned by FINRA
Former Garden City, New York financial advisor Arthur McQuaide (CRD# 4581876) allegedly made excessive trades in customer accounts, according to a regulatory enforcement action. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
