Port Washington, Wisconsin financial advisor Paul Baldino (CRD# 2024264) allegedly made excessive trades, according to a recent investor complaint. Financial...
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Mike Dowden: Harger and Company Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Baton Rouge, Louisiana broker and investment advisor Mike Dowden (CRD# 4089978) suspended him over allegations he submitted partially completed variable annuity transaction forms to his member firm, Harger & Company. Dowden was fined $10,000 and suspended from acting as a broker for two… Read More »
Lisa Lastrapes: Former Merrill Lynch Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Richardson, Texas broker and investment advisor Lisa Lastrapes (CRD# 2739854) suspended her over allegations that she failed to disclose to her former broker-dealer firm, Merrill Lynch, that her adult daughter had been named beneficiary on the IRA account of an elderly client,… Read More »
Steven Cooper: FINRA Suspends California UBS Advisor Over Mutual Fund Trades
A disciplinary action taken by the Financial Industry Regulatory Authority against former Century City, California broker and investment advisor Steven Cooper (CRD# 4879645) suspended him over allegations that he recommended unsuitable mutual fund trades. A former representative of UBS Financial Services, Cooper was fined $5,000 and suspended from acting as a broker for two… Read More »
Mikey Tanha: California Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Beverly Hills, California broker and investment advisor Mikey Tanha (CRD# 6022108) suspended him over allegations that he participated in outside business activities without properly notifying his member firm, Merrill Lynch. Tanha was fined $15,000 and suspended from acting as a broker for… Read More »
Ron Blasczyk: FINRA Suspends Wisconsin Wells Fargo Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Green Bay, Wisconsin broker and investment advisor Ron Blasczyk (CRD# 3065429) suspended him over allegations that he recommended unsuitable variable annuity products to an elderly customer of his member firm, Wells Fargo Clearing Services. Blasczyk was fined $10,000 and suspended from acting as… Read More »
Sudesh Jain: Complaints Against Florida MML Advisor
Investor complaints against MML Investors Services broker and investment advisor Sudesh Jain (CRD# 1325905) allege conduct including suitability violations, misrepresentations, and more by the Orlando, Florida-based representative. Mr. Jain has been registered with the firm since 2017, according to information drawn from the Financial Industry Regulatory Authority. Sudesh Jain allegedly recommended an investment in… Read More »
Richard Bernstein: Complaints Against Nevada, California Wells Fargo Advisor
Investor complaints against Wells Fargo broker and investment advisor Richard Bernstein (CRD# 1113777) allege conduct including false representations, suitability violations, unauthorized trading, and more by the Incline Village, Nevada and Los Angeles, California-based representative. Mr. Bernstein has been registered with the firm since 2015, according to information drawn from the Financial Industry Regulatory Authority…. Read More »
Jeffrey Smith: Complaints Against Michigan Merrill Lynch Advisor
Investor complaints against Merrill Lynch broker and investment advisor Jeffrey Smith (CRD# 1908011) allege conduct including misrepresentation, suitability violations, unauthorized trading, and more by the Farmington Hills, Michigan-based representative. One such complaint reached a settlement of $1.1 million. Mr. Smith has been registered with that office since 1989, according to information drawn from the… Read More »
Timothy Augustin: $2.4 Million Complaint Against Former Western International Broker
Pending investor complaints against former Western International Securities broker and investment advisor Timothy Augustin (CRD# 5283043) allege conduct including fraud, suitability violations, sales of unregistered securities, negligence, and more. One such complaint alleges damages of more than $2.4 million. The former Washington, DC-based representative is currently not registered as a broker, according to information… Read More »
Eric Weschke: $200,000 Complaint Against Kalos Advisor
Investor complaints against Kalos Capital broker and investment advisor Eric Weschke (CRD# 4697621) allege conduct including suitability violations, breach of fiduciary duty, negligence, and more by the New York, New York-based representative. He has also received sanctions by securities regulators, according to information drawn from Financial Industry Regulatory Authority records. Eric Weschke allegedly advised… Read More »
