Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
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Peter Ianace: Ex-Wells Fargo Rep Has $18 Million Complaint
Former Plano, Texas broker and investment adviser Peter Ianace (CRD#: 3238078) has received pending customer complaints in the last several years, including one alleging damages of $18 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Ianace was most recently registered with Wells Fargo Clearing Services, though he was barred in… Read More »
Bob Elmo: $1.3 Million Complaint Against NYC UBS Broker
New York City-based UBS Financial Services broker and investment adviser Bob Elmo (CRD#: 200601) has received a pending customer complaint seeking damages of more than $1 million, according to records provided by the Financial Industry Regulatory Authority (FINRA). The complaint alleges in part that Elmo recommended unsuitable products. Bob Elmo’s BrokerCheck report lists one… Read More »
Stamford Broker Joseph Chu: $1.6 Million Complaint
Financial Industry Regulatory Authority (FINRA) records show that RBC Capital Markets broker and investment adviser Joseph Chu (CRD# 4546805) recently received several denied or pending customer complaints in recent years, including one that alleges damages of $1.6 million. Chu is based in Stamford, Connecticut.
Daniel Lerner: Energy 11 Complaints Against White Plains Rep
Daniel Lerner (CRD# 1255769), a broker located in White Plains, New York, is the recipient of numerous closed, denied, or pending customer complaints. As a representative of David Lerner Associates, according to records provided by the Financial Industry Regulatory Authority (FINRA), Lerner allegedly misrepresented material facts, violated his fiduciary obligation to his customers, and… Read More »
Dennis Haywood: REIT Complaints Against Crown Capital Broker
Dennis Haywood (CRD# 5850275), a broker and investment adviser based in Land O’ Lakes, Florida, has received settled and pending customer complaints alleging losses of as much as $330,000. According to records provided by the Financial Industry Regulatory Authority (FINRA), these complaints allege the Crown Capital Securities representative recommended unsuitable investments and made misrepresentations… Read More »
Ronnie Metcalf: $5 Million Complaint Against Voya Broker
Ronnie Metcalf (CRD# 1280602), a broker and investment adviser located in Greenville, South Carolina, has received several settled or pending customer complaints alleging misconduct. According to Financial Industry Regulatory Authority (FINRA) records, the complaints concern, among other things, allegations that he failed to supervise other representatives at his longtime member firm, Voya Financial Advisors…. Read More »
Bill Ard: $6.5 Million Complaint Against Short Hills Broker
Financial Industry Regulatory Authority (FINRA) records show that Morgan Stanley broker and investment adviser Bill Ard (CRD# 1133673) has received multiple pending customer complaints in recent years, one alleging damages that exceed $6 million. Ard is based in Short Hills, New Jersey. Bill Ard’s BrokerCheck report lists two pending customer complaints against him. One… Read More »
Boston Rep James Baker: Complaint Alleged $20M Losses
Financial Industry Regulatory Authority (FINRA) records indicate that JP Morgan Securities broker James Baker (CRD# 5651660) recently received a customer complaint, since denied by the firm, regarding alleged misrepresentations in connection to an investment. Baker is based in Boston, Massachusetts.
FINRA Bars Ex-LPL Broker Patrick Coogan: “Reckless Misrepresentation”
Former Baton Rouge, Louisiana-based LPL Financial broker Patrick Coogan (CRD# 4576580) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he made reckless misrepresentations to a customer. According to a Letter of Acceptance, Waiver, and Consent (No. 2018058134301) dated April 2020, Patrick Coogan was associated with LPL Financial as… Read More »
Tim Hetrick: Boise Broker Sanctioned Over Alleged Forgeries
Former US Brokerage broker Tim Hetrick (CRD# 2048466) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he refused to cooperate with an investigation into forged customer signatures. Previously associated with the firm’s office in Boise, Idaho, he was barred from associating with FINRA. According to a Letter of… Read More »
