Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
Read MoreCategory Archives: Uncategorized
Brian Candler: $3.4mm Complaint Against Cabin Securities Advisor
Overland Park, Kansas financial advisor Brian Candler (CRD# 2802438) recently received an investor complaint alleging that his conduct resulted in damages exceeding $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with JCC Capital Markets and Cabin Securities and as an investment advisor with Cabin Securities.
Diane Veenendaal: UBS Advisor Faced $5mm Investor Complaint
Brookfield, Wisconsin financial advisor Diane Veenendaal (CRD# 1143233) allegedly failed to act in her customer’s best interest, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with UBS Financial Services.
Dustin Smith: $2mm Complaint Against RBC Advisor
A recent investor complaint against Naples, Florida financial advisor Dustin Smith (CRD# 2803156) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with and an investment advisor with Citizens Securities, having previously been registered with RBC Capital Markets.
Carmen Morrone: $1mm DST Complaint Against Blue Ocean Advisor
Wantagh, New York financial advisor Carmen Morrone (CRD# 1898874) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, doing business as Blue Ocean Private Wealth.
Rob Goff: FINRA Suspends, Fines Ex-Wells Fargo Advisor
Former East Lansing, Michigan financial advisor Rob Goff (CRD# 4388671) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
Independence Capital Sanctioned over GWG L Bond Sales
A recent disciplinary action against Parma, Ohio financial advisor Independence Capital (CRD# 24723) alleges that the firm violated industry rules in connection with the recommendations of GWG L Bonds. Financial Industry Regulatory Authority records show that the firm has been censured and ordered to pay more than $100,000 in restitution.
Hugo Hernandez: MML Advisor Barred by FINRA
Former El Paso, Texas financial advisor Hugo Hernandez (CRD# 6446187) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Lyhen Fiallo: FINRA Bars Primerica Advisor
Former Hialeah, Florida financial advisor Lyhen Fiallo (CRD# 4579582) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with PFS Investments, also known as Primerica.
Thomas Prentice: $825K Complaint Against RBC Advisor
Palm Desert, California financial advisor Thomas Prentice (CRD# 874774) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Kent Engelke: Capitol Securities Advisor Lands Suitability Complaint
Glen Allen, Virginia financial advisor Kent Engelke (CRD# 1421164) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Capitol Securities Management.
