Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Gerald Page: FINRA Bars Fired NYLife Advisor
Former Horsham, Pennsylvania financial advisor Gerald Page (CRD# 7577838) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with NYLife Securities.
Gary Talbot: FINRA Suspends Spartan Capital Advisor
New York, New York financial advisor Gary Talbot (CRD# 3059670) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Dan Schmid: FINRA Bars Former Equitable Advisor
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Equitable Advisors.
Daniel Diaz: FINRA Sanctions Ex-Raymond James Advisor
Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Raymond James & Associates.
David Demarest: UBS Advisor Faces $15mm Complaint
Lexington, Kentucky financial advisor David Demarest (CRD# 4843128) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
David Russell: Suitability Complaint Against Merrill Lynch Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor David Russell (CRD# 6074721) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Scott Freeze: Aventura Advisor Under SEC Investigation
Huntingdon Valley, Pennsylvania financial advisor Scott Freeze (CRD# 2518935) is the subject of a pending investigation by the Securities and Exchange Commission, which alleges that he may have violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Aventura Securities, having previously been registered with International Assets… Read More »
Wes Young: Eagle Strategies Advisor Faces $40K Complaint
Austin, Texas financial advisor Wes Young (CRD# 4632589) recently received an investor complaint alleging that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Silas Parker & Associates and Savagen Securities.
Steve Schwartz: Financial Life Advisor Faces $1.4mm Complaint
A recent investor complaint against Mercer Island, Washington financial advisor Steve Schwartz (CRD# 4177383) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Financial Life Advisor.
Paul Sweeney: $150K Complaint Against Kingsview Advisor
A recent investor complaint against Wintersville, Ohio financial advisor Paul Sweeney (CRD# 6289017) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Edward Jones broker is currently registered as an investment advisor with Kingsview Wealth Management.
