Wichita, Kansas financial advisor Steve Mattocks (CRD# 2193216) allegedly sold unsuitable real estate investment trust products, according to a recent...
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David Lerner Associates Sanctioned over Energy LPs
Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according to a recent sanction by the Financial Industry Regulatory Authority. The firm, headquartered in Syosset, New York, has been censured and suspended from engaging in the sale of proprietary, illiquid products.
Max Tulupnikoff: David Lerner Advisor Fined over Energy LPs
Westport, Connecticut financial advisor Max Tulupnikoff (CRD# 6188857) was recently sanctioned and suspended in connection with the allegedly unsuitable sales of energy limited partnerships. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Daniel Lerner: FINRA Fines David Lerner Advisor over Energy LPs
White Plains, New York financial advisor Daniel Lerner (CRD# 1255769) was recently sanctioned and suspended in connection with allegations that he recommended an energy limited partnership without reason to believe it was suitable. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Todd Leightey: Northwestern Advisor Suspended over Annuities
Upper Sandusky, Ohio financial advisor Todd Leightey (CRD# 4409118) was recently fined and suspended in connection with allegedly improper annuity sales. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Tony Navarro: FINRA Suspends NFSG, Ex-IFG Advisor
San Diego, California financial advisor Tony Navarro (CRD# 2250454) 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 Independent Financial Group broker is currently registered as an investment advisor with NFSG Corporation.
Ryan Barnhill: $70K Complaint Against LPL Advisor
A recent investor complaint against San Diego, California financial advisor Ryan Barnhill (CRD# 6335285) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Barnhill Wealth Management.
Mark Huber: Concorde, Thornwood Advisor Faces $500K-$900K Complaint
Racine, Wisconsin financial advisor Mark Huber (CRD# 5976354) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Thornwood Financial.
Vince Nelson: Why Did Arno Wealth Advisor Resign from Arete?
Overland Park, Kansas financial advisor Vince Nelson (CRD# 2275929) recently resigned from Arete Wealth Management in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Cabin Securities and is also a representative of Arno Wealth.
Phillip Anderson: FINRA Suspends Ex-Kingswood Advisor
Former Roseville, California financial advisor Phillip Anderson (CRD# 814936) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Kingswood Capital Partners and an investment advisor with Resurgent Financial Advisors.
Judah Spinner: FINRA Suspends Ex-Primerica Advisor
Former Las Vegas, Nevada broker Judah Spinner (CRD# 7039921) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Primerica Financial Services.
