Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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Glen Ellyn Rep Charles Kiker Allegedly Caused 7-Figure Losses
Commonwealth Financial Network stockbroker and adviser Charles Kiker (CRD# 2402823) has received a customer complaint alleging more than $4 million in damages. According to the Financial Industry Regulatory Authority, or FINRA, Kiker is located in Glen Ellyn, Illinois.
John Woods: $3 Million in Pending Complaints Against Oppenheimer Rep
Former Atlanta stockbroker and investment adviser John Woods (CRD# 1949233) has received pending customer complaints alleging more than $3 million in damages connected to an alleged Ponzi scheme. Financial Industry Regulatory Authority (FINRA) records show that Woods was previously registered with Oppenheimer & Company.
Michael Leahy: Red Bank Rep Barred Over Alleged Supervisory Failures
Former First Standard Financial Company broker Michael Leahy (CRD# 1899498) has been barred by the Financial Industry Regulatory Authority (FINRA) from acting in any principal capacity, according to FINRA records. Leahy was most recently associated with the firm’s branch office in Red Bank, New Jersey. Michael Leahy’s BrokerCheck report lists two regulatory actions against… Read More »
Ex-LPL Broker John Scott Sanctioned, Barred
Former Phoenix, Arizona broker and investment adviser John Scott (CRD# 2407610) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he participated in undisclosed outside business activities and private securities transactions. Scott was most recently associated with LPL Financial in Phoenix. According to a Letter of Acceptance, Waiver and… Read More »
David Martirosian: NYC Rep Barred Over Trading Allegations
David Martirosian (CRD# 5261144), previously a broker registered with Joseph Stone Capital in New York City, has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he made potentially unsuitable and excessive trades. He has been barred from associating with FINRA member firms. According to a Letter of Acceptance, Waiver… Read More »
Ex-Pruco Rep Fred Rock Suspended, Fined
According to records maintained by the Financial Industry Regulatory Authority (FINRA), former Tampa, Florida broker and investment adviser Fred Rock (CRD# 2548242) was recently sanctioned in connection to allegedly improper private placement transactions. Rock was most recently registered with Pruco Securities. Fred Rock’s BrokerCheck report currently lists one settled investor complaint against him. It… Read More »
Chicago Rep David Geake Has 6-Figure Complaints
David Geake (CRD# 3088891), a broker and investment adviser in Chicago, Illinois, has received several settled or pending investor complaints in recent years. According to records provided by the Financial Industry Regulatory Authority (FINRA), Geake is currently registered with American Trust Investment Services. David Geake’s BrokerCheck report lists a total of four settled investor… Read More »
Andrew Melikidse: $350,000 Complaint Against Studio City Broker
A pending investor complaints against SagePoint Financial broker Andrew Melikidse (CRD# 2353534) alleges losses exceeding $300,000. According to Financial Industry Regulatory Authority (FINRA) records, Melikidse is currently based in Studio City, California. Andrew Melikidse’s BrokerCheck report lists one settled investor complaint and one pending investor complaints against him. Filed in April 2021, the pending… Read More »
Ex-Pinnacle Rep Bill Friedman Suspended by FINRA
Former Boca Raton broker and investment adviser Bill Friedman (CRD# 2475502) was recently recently the subject of a regulatory action suspending him from acting as a broker. Financial Industry Regulatory Authority (FINRA) records show that Friedman, who has also received investor complaints, was most recently registered with Pinnacle Investments. Bill Friedman’s BrokerCheck report currently… Read More »
Bryon Martinsen: Centaurus Rep Allegedly Caused $9MM Losses
According to records maintained by the Financial Industry Regulatory Authority (FINRA), Kings Park, New York broker and investment adviser Bryon Martinsen (CRD# 1621649) has received pending investor complaints alleging his actions resulted in more than $9 million in losses. Martinsen is currently registered with Centaurus Financial. Bryon Martinsen’s BrokerCheck report lists five settled investor… Read More »
