Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in...
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David K. Griffith: $150K Complaint Against DK Griffith Advisor
Utica, New York financial advisor David K. Griffith (CRD# 3072664) allegedly breached his fiduciary duty and engaged in unjust enrichment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities, doing business as DK Griffith & Company.
Sara Qazi: FINRA Suspends Raymond James Advisor
Beverly Hills financial advisor Sara Qazi (CRD# 4118177) was recently sanctioned and suspended in connection with allegations she improperly participated in a private securities transaction. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Morgan Stanley.
Peter Maniscalco: $300K Complaint Against Avantax Advisor
Staten Island financial advisor Peter Maniscalco (CRD# 4435025) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, respectively. He is also the President of Maniscalco & Picone… Read More »
Doug Nelson: GWG L Bond Complaint Against LPL Advisor
A recent investor complaint against Pahrump, Nevada financial advisor Doug Nelson (CRD# 4609776) alleges that he recommended an unsuitable GWG L Bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, having previously been registered with Kingswood Capital Partners.
Jeff Carlton: UBS Fires Melville Advisor over ETF Allegations
Melville, New York financial advisor Jeff Carlton (CRD# 1132967) was recently fired by UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital Corporation.
Randy Redd: Embezzlement Complaint Against LPL Advisor
Chandler, Arizona financial advisor Randy Redd (CRD# 4551799) allegedly embezzled customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Garry L. Johnson & Associates.
Eric Kubiak: FINRA Sanctions Ameriprise Advisor
Former Cheektowaga, New York financial advisor Eric Kubiak (CRD# 4637674) was recently sanctioned and barred in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Ameriprise Financial Services.
Jilena Mok: Unauthorized Trading Allegations Against Aegis Advisor
San Francisco financial advisor Jilena Mok (CRD# 6115674) was recently sanctioned and suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Edward Jones.
Joe Gainer: FINRA Bars Ex-Wells Fargo Advisor
Former Marianna, Florida financial advisor Joe Gainer (CRD# 4517367) was recently sanctioned and barred from acting as a broker in connection with allegations involving a gift from a client. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
David Stuart: Why Did FINRA Suspend Ex-Lincoln Advisor?
Former Cherry Hill, New Jersey financial advisor David Stuart (CRD# 857819) was recently sanctioned and suspended in connection with allegations of improper commission-sharing. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Lincoln Financial Advisors Corporation.
