First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
Read MoreCategory Archives: Uncategorized
Venu Reddy: FINRA Investigates FBS Securities Advisor
McKinney, Texas financial advisor Venu Reddy (CRD# 5125813) allegedly participated in undisclosed private securities transactions, according to an investigation. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former World Choice Securities broker is currently registered as an investment advisor with FBS Securities.
Mitchell Rock: $2mm Complaint Against Rock Financial Advisor
A recent investor complaint against New York City financial advisor Mitchell Rock (CRD# 1451592) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, whose website describes him as a member of the Rock Financial… Read More »
Chris Gallo: FINRA Suspends Joseph Stone, Ex-Spartan Advisor
New York City financial advisor Christopher Gallo (CRD# 6045888) was recently suspended in connection with allegations of excessive and unsuitable trading. Financial Industry Regulatory Authority records show that he is registered as a broker with Joseph Stone Capital, having previously been registered with Spartan Capital Securities.
Ceondre Colvin: FINRA Bars Ex-NYLife Advisor
Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with NYLife Securities.
Gaylord Rohloff: $350K Complaint Against Western International Advisor
Multiple investor complaints against Westlake Village, California financial advisor Gaylord Rohloff (CRD# 1542216) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.
Patricia Fleming: Lumena Advisor Lands $500K Complaint
San Diego, California financial advisor Patricia Fleming (CRD# 1960175) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Lumena Financial Strategies.
Shawn Weadock: Alexander Capital Advisor Lands $1.6mm Complaint
Red Bank, New Jersey financial advisor Shawn Weadock (CRD# 2602704) 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 Alexander Capital.
Christopher Bailey: FINRA Bars Ex-MassMutual Advisor
Former Cumming, Georgia financial advisor Christopher Bailey (CRD# 6907048) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with MML Investors Services, also known as MassMutual.
Peter Glowacki: FINRA Suspends TCFG, Ex-RBC Advisor
Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without authorization. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is now registered with TCFG Investment Advisors. A Letter of Acceptance, Waiver, and Consent (No…. Read More »
Brent Schmidt: FINRA Suspends Harvest Financial Advisor
Delano, Minnesota financial advisor Brent Schmidt (CRD# 3093473) allegedly permitted a business partner to falsify customer records, according to a regulatory sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Harvest Financial Services.
