A disciplinary proceeding released by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleges that broker-dealer firm Reid &...
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Ralph Jackson: Morgan Stanley Fires Sports & Entertainment Advisor
Former Los Angeles financial advisor Ralph Jackson (CRD #1569213) was recently terminated by his member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley. His LinkedIn profile notes that he was a Global Sports & Entertainment Director at… Read More »
Jeff Morrison: Bond Complaints Against LifeMark Advisor
A recent investor complaint against Livingston, New Jersey financial advisor Jeff Morrison (CRD# 3200399) alleged negligence involving a corporate bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities.
James Bowman: FINRA Bars Former Edward Jones Advisor
Former Columbia, Missouri financial advisor James Bowman (CRD# 4469446) was recently sanctioned by regulators and fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Edward Jones.
Glenn Ng: Park Avenue Advisor Barred by FINRA
Former San Diego financial advisor Glenn Ng (CRD# 7200876) 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 Park Avenue Securities, having previously been registered with Northwestern Mutual Investment Services.
Jeffrey Arbeit: Farmers Financial Fires Austin Advisor
Former Austin, Texas financial advisor Jeffrey Arbeit (CRD# 6603428) was recently fired by his former broker-dealer in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Farmers Financial Solutions.
James Blalock: LPL/Commerce Advisor Faces Theft Complaint
A recent investor complaint against Lenexa, Kansas financial advisor James Blalock (CRD# 7385122) alleges theft from a customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Commerce Financial Advisors.
David Miller: $2.5mm Complaint Against RBC Advisor
Huntington, Virginia financial advisor David Miller (CRD# 2434598) 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 and an investment advisor with RBC Capital Markets.
Tony Tolene: $100K Complaint Against Infinity Financial Advisor
Harrisburg, Pennsylvania financial advisor Tony Tolene (CRD# 5730068) allegedly mismanaged customers’ money, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Infinity Financial Services.
Jason Jeanquart: Cola Wealth Advisor Receives Bond Complaint
Lexington, South Carolina financial advisor Jason Jeanquart (CRD# 6593478) recently received an investor complaint alleging that he misrepresented risky investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Cola Wealth Advisors.
James Maurer: Misappropriation Complaint Against Network 1 Advisor
Hauppage, New York financial advisors James Maurer (CRD# 4971613) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Network 1 Financial Securities, having previously been registered with Laidlaw & Company.
