A recent investor complaint against Lone Tree, Colorado financial advisor Tony Hazen (CRD# 2384836) alleges that he committed fraud and...
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Tamara Totah: $7mm Complaint Against Old City Securities Advisor
A recent investor complaint against New York, New York financial advisor Tamara Totah (CRD# 6592304) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Old City Securities.
Jayme Lemaire: FINRA Bars Ex-Raymond James Advisor
Former Glastonbury, Connecticut financial advisor Jayme Lemaire (CRD# 4336052) 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 International Assets Advisory, having previously been registered with Lincoln Investment and Raymond James Financial Services.
Gerald Page: FINRA Bars Fired NYLife Advisor
Former Horsham, Pennsylvania financial advisor Gerald Page (CRD# 7577838) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with NYLife Securities.
Gary Talbot: FINRA Suspends Spartan Capital Advisor
New York, New York financial advisor Gary Talbot (CRD# 3059670) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Dan Schmid: FINRA Bars Former Equitable Advisor
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Equitable Advisors.
Daniel Diaz: FINRA Sanctions Ex-Raymond James Advisor
Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Raymond James & Associates.
David Demarest: UBS Advisor Faces $15mm Complaint
Lexington, Kentucky financial advisor David Demarest (CRD# 4843128) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
David Russell: Suitability Complaint Against Merrill Lynch Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor David Russell (CRD# 6074721) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Scott Freeze: Aventura Advisor Under SEC Investigation
Huntingdon Valley, Pennsylvania financial advisor Scott Freeze (CRD# 2518935) is the subject of a pending investigation by the Securities and Exchange Commission, which alleges that he may have violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Aventura Securities, having previously been registered with International Assets… Read More »
Wes Young: Eagle Strategies Advisor Faces $40K Complaint
Austin, Texas financial advisor Wes Young (CRD# 4632589) recently received an investor complaint alleging that his conduct resulted in five-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Silas Parker & Associates and Savagen Securities.
