Recent news reports describe the dire state of investments in municipal bonds issued by the Florida private railroad company Brightline...
Read MoreAuthor Archives: chase@carlson-law.com
Anthony Cheng: FINRA Bars Fired Ameritas Advisor
Former San Jose financial advisor Anthony Cheng (CRD# 6242405) 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 with Ameritas Investment Company, doing business as Thrive Wealth Solutions.
Gary Harlap: $100K-$500K Complaint Against UBS Advisor
Philadelphia, Pennsylvania financial advisor Gary Harlap (CRD# 3125590) allegedly improperly concentrated a customer’s 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 UBS Financial Services.
Stephen Wagner: Integrity Advisor Fired by LPL
Ventura, California financial advisor Stephen Wagner (CRD# 2193508) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is registered as an investment advisor with Integrity Wealth Advisors.
Genevieve Mar: M-G Advisor Faces $500K Complaint
Northbrook, Illinois financial advisor Genevieve Mar (CRD# 2744037) has received multiple investor complaints alleging that her conduct resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Berthel Fisher, doing business as M-G Financial.
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.
