Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Doug Nelson: GWG L Bond Complaint Against LPL Advisor
A recent investor complaint against Pahrump, Nevada financial advisor Doug Nelson (CRD# 4609776) alleges that he recommended an unsuitable GWG L Bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, having previously been registered with Kingswood Capital Partners.
Jeff Carlton: UBS Fires Melville Advisor over ETF Allegations
Melville, New York financial advisor Jeff Carlton (CRD# 1132967) was recently fired by UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital Corporation.
Randy Redd: Embezzlement Complaint Against LPL Advisor
Chandler, Arizona financial advisor Randy Redd (CRD# 4551799) allegedly embezzled customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Garry L. Johnson & Associates.
Eric Kubiak: FINRA Sanctions Ameriprise Advisor
Former Cheektowaga, New York financial advisor Eric Kubiak (CRD# 4637674) was recently sanctioned and barred in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Ameriprise Financial Services.
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.
