Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Matthew Mierzycki: FINRA Fines, Suspends Ameriprise Advisor
Round Rock, Texas financial advisor Matthew Mierzycki (CRD# 6102769) was recently suspended by FINRA in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Edward Jones.
Todd Anderson: FINRA Bars Former Benchmark Investments Advisor
Former Tucson financial advisor Todd Anderson (CRD# 1896352) 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 Benchmark Investments, doing business as Anderson Financial Services.
Anthony Cantone: FINRA Investigates, Bars Cantone Research Advisor
Former Eatontown, New Jersey financial advisor Anthony Cantone (CRD# 1066139) was recently barred from acting as a broker in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cantone Research.
Estevao Semedo: Ex-PFS Advisor Barred After OBA Investigation
Former Brockton, Massachusetts financial advisor Estevao Semedo (CRD# 4631886) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PFS Investments.
Ed Mercer: FINRA Bars RLA Financial Advisor
Former Coral Springs, Florida financial advisor Ed Mercer (CRD# 1839328) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cambridge Investment Research, doing business as RLA Financial.
Jack Fisher & James Sinnott Sentenced in Conservative Easement Scheme
In September 2023, a federal jury convicted Jack Fisher and James Sinnott in connection with allegations that they operated a fraudulent scheme involving the marketing and sale of “abusive syndicated conservation easement tax shelters” to high-income clients. According to a January 9, 2024 press release by the US Department of Justice, Fisher received a… Read More »
Felipe Henao: Insigneo Advisor Fined over Trading Allegations
A recent sanction against former Miami financial advisor Felipe Henao (CRD# 5140431) alleges that he made unauthorized transactions in a customer account. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Insigneo Securities, doing business as GCH Advisors.
Ron Bucher: FINRA Bars Ex-Pinnacle Advisor
Former Fort Myers financial advisor Ron Bucher (CRD# 1804910) was recently sanctioned in connection with allegations he refused to cooperate with an investigation. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with San Blas Securities and Pinnacle Investment.
Marc Rankin: Woodmen Financial Advisor Barred by FINRA
Former Columbia, South Carolina financial advisor Marc Rankin (CRD# 5534121) was recently sanctioned in connection with allegations he refused to cooperate with an investigation into alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Woodmen Financial Services.
Jeffrey Russell: FINRA Suspends Kovack, Russell Wealth Advisor
Former Morgan Stanley broker Jeffrey Russell (CRD# 2516610) was recently sanctioned in connection with allegations that he effected unauthorized mutual fund transactions in hundreds of customers’ accounts. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Kovack Advisors in San Clemente, California…. Read More »
