Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
Read MoreCategory Archives: Uncategorized
Chuck Cox: $800,000 Complaint Against Raymond James Rep
Raymond James Financial Services stockbroker Chuck Cox (CRD# 2283909) has received an investor dispute alleging his actions resulted in six-figure damages. Financial Industry Regulatory Authority records show that the Federal Way, Washington-based representative has also received an investor dispute that reached a six-figure settlement.
Marc Korsch: 6-Figure Complaints Against Barred Ex-Centaurus Rep
Marc Korsch (CRD# 5525226), a stockbroker previously located in Sarasota, Florida, alleged recommended unsuitable investments that led to millions of dollars in damages for his customers. Financial Industry Regulatory Authority records show that the former representative of Arkadios Capital and Centaurus Financial was also sanctioned by FINRA and barred from acting as a broker… Read More »
Ben Belanger: Austin Rep Has 6-Figure REIT Complaint
Kestra Investment Services stockbroker Ben Belanger (CRD# 5293459) allegedly recommended unsuitable non-traded real estate investment trusts, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is registered with the firm’s office in Austin, Texas.
Victorville Rep Susan Cruz: REIT Complaints Allege 6-Figure Damages
Infinex Investments stockbroker Susan Cruz (CRD# 2213628) allegedly recommend unsuitable investments, according to customer complaints disclosed to the Financial Industry Regulatory Authority. FINRA records state that she is presently based out of Victorville, California.
Dominic Baldini: Emerson Equity Rep Fined over Mutual Fund Charges
San Mateo stockbroker Dominic Baldini (CRD# 3082081) was recently sanctioned by the Financial Industry Regulatory Authority after the regulator found he failed to reasonably supervise mutual fund trading. Currently a representative of Emerson Equity, he was fined and temporarily suspended from acting in a principal capacity.
Merrill Lynch’s Robert Brown Terminated after $4.25 Million Complaint
Merrill Lynch fired Birmingham, Alabama-based representative Robert Brown (CRD# 1148258) following the settlement of a customer complaint for more than $4 million. Formerly of the firm’s Brown Israel Wealth Management shingle, he is currently registered as an investment adviser with RFG Advisory in Vestavia Hills, Alabama.
FINRA Suspends Ex-Merrill Lynch Rep Scott Matthews: UIT Rollovers
Ex-Merrill Lynch stockbroker Scott Matthews (CRD# 1314735) was recently sanctioned by the Financial Industry Regulatory Authority. The former Merrill Lynch representative was found to have recommended unsuitable unit investment trust (UIT) rollovers to his customers and suspended for three months.
Kelly Feehrer: Ex-Merrill Lynch Rep Suspended over UIT Rollovers
Kelly Feehrer (CRD# 1470328), previously a stockbroker in Benton, Tennessee, was recently sanctioned by FINRA after findings he engaged in unsuitable trading of unit investment trusts. Formerly a representative of Merrill Lynch, he was temporarily suspended from acting as a broker.
Kevin McCallum: Birmingham LPL Rep Suspended over BDCs
Former Birmingham stockbroker Kevin McCallum (CRD# 2222586) was recently sanctioned by the Financial Industry Regulatory Authority. A former representative of LPL Financial, he was suspended over findings of concentration and unsuitable trading. Records also show a pending investor complaint against him, alleging damages of $4 million.
NYC Rep Christopher Orlando Barred over Excessive Trading Allegations
Christopher Orlando (CRD# 4136262), previously a stockbroker based in New York City, has been sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former Spartan Capital Securities representative was found to have engaged in quantitatively unsuitable trading in customer accounts.
