Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
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Michael Shillin: SEC Files SpaceX Charges Against Ex-AGP Rep
Former Altoona stockbroker and investment adviser Michael Shillin (CRD# 5927156) has been named in charges by the Securities and Exchange Commission alleging he deceived his investors. According to the Financial Industry Regulatory Authority, the former Alliance Global Partners representative has also received investor complaints, both pending and settled. Michael Shillin’s BrokerCheck report lists 21… Read More »
Jeffrey Cohen: $2MM Complaint Against Manchester-Based Moloney Rep
Moloney Securities stockbroker Jeffrey Cohen (CRD# 2528929) has received investor complaints alleging he sold unsuitable alternative investments. According to the Financial Industry Regulatory Authority, an entity overseeing broker-dealer firms, Mr. Cohen is associated with Moloney’s branch office in Manchester, Missouri.
Recent Complaints Against Ex-NYC Worden Rep Gregory Bodkin
Gregory Bodkin (CRD# 3008389), previously a stockbroker registered with Worden Capital Management, has received several pending customer complaints. Financial Industry Regulatory Authority records reveal that the former New York City representative is no longer registered as a broker.
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 »
