Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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Ronald Daley: West Chester Rep Barred Over Conversion Allegations
Ronald Daley (CRD# 4682165), formerly a representative of W&S Brokerage Services, has been sanctioned by the Financial Industry Regulatory Authority and barred over allegations he refused to comply with an investigation into allegations he converted customer funds. Daley was affiliated with the firm’s location in West Chester, Ohio until earlier this year.
Patrick Brown: $1.3MM Complaint Against Alabama Merrill Lynch Rep
Ex-Merrill Lynch representative Patrick Brown (CRD# 6089009) was involved in a pending customer complaint that settled for more than $1 million. According to the Financial Industry Regulatory Authority, a self-regulatory organization overseeing broker-dealer companies, Brown was previously registered with Merrill Lynch’s office in Montgomery, Alabama.
$546K Annuity Complaint Against Largo Rep Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was recently barred by the Financial Industry Regulatory Authority, which was investigating allegations he forged customers signatures and used unauthorized discretion. FINRA records also list customer disputes involving Katz, who was previously registered with American Independent Securities Group.
Guilford Nergard: 6-Figure Complaints Against Sanctioned Ex-Newbridge Rep
Guilford Nergard (CRD# 2360614), a Phoenix-area investment professional, is involved in customer disputes and was recently sanctioned by securities regulators. According to Financial Industry Regulatory Authority records, Nergard is not currently registered as a broker, though he was previously registered with Newbridge Securities in Mesa, Arizona. He is currently registered as an investment adviser… Read More »
Ex-HD Vest Rep Travis Eiland Allegedly Caused 6-Figure Losses
Former Bayton, Texas stockbroker and investment adviser Travis Eiland (CRD# 4127872) is involved in a pending customer dispute alleging fraud and other causes of action. Financial Industry Regulatory Authority (FINRA) records show that Eiland was previously employed by HD Vest Investment Services, but is not currently registered as a broker or as an investment… Read More »
Christ Baltas: 6-Figure Churning Complaint Against Barred Melville Rep
Christ Baltas (CRD# 4127872), a stockbroker and investment adviser last employed by Worden Capital Management, has been named in customer disputes alleging his conduct resulted in losses. Financial Industry Regulatory Authority (FINRA) records disclose that Baltas, formerly based in Melville, New York, has been barred from acting as a broker or otherwise associating with… Read More »
Madison Avenue Advisor Vincent Virga: GPB Capital Complaints
Naples, Florida investment adviser Vincent Virga (CRD# 5070668) is involved in customer disputes concerning alleged investments in GPB Capital. According to the Financial Industry Regulatory Authority, Virga was previously registered with Madison Avenue Securities as a broker, but is currently only registered with the firm as an investment adviser.
Leighton Stallones: San Marcos Rep Has 6-, 7-Figure Complaints
Leighton Stallones (CRD# 433344), a Momentum Independent Network stockbroker in San Marcos, Texas, has been involved in disputes alleging he caused millions in cumulative losses. Financial Industry Regulatory Authority disclosures include a recent pending complaint against Stallones concerning allegations of unsuitable investments.
Martin Lerner: SOAEX, Energy 11/12 Complaints Against Boca Raton Rep
Boca Raton stockbroker Martin Lerner (CRD# 871038), a representative of David Lerner Associates, is involved in recent customer disputes alleging $700,000 in damages. According to Financial Industry Regulatory Authority disclosures, Lerner’s records also include a sanction and suspension by securities regulators over allegations he violated industry rules. Martin Lerner’s BrokerCheck report lists two pending… Read More »
$650K Complaint Against Flower Mound Rep William Burks
Centaurus Financial stockbroker and investment adviser William Burks (CRD# 2944992), registered with the firm’s branch office in Flower Mound, Texas, has been involved in settled, pending, and denied investor complaints. According to public records maintained by the Financial Industry Regulatory Authority, one recent complaint against William Burks (also known as Bill Burks) alleges more… Read More »
