Winston Salem, North Carolina financial advisor Jim Holmes (CRD# 2174697) was recently sanctioned and suspended in connection with alleged rule...
Read MoreAuthor Archives: chase@carlson-law.com
Gregory Whelan: Why Did Merrill Lynch Advisor Resign?
Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) recently resigned from Merrill Lynch in connection with allegations of selling away. Financial Industry Regulatory Authority records show that he has also received an investor complaint that reached a settlement of more than $3 million.
John Palma: $500K Complaint Against Barred SW Financial Advisor
Former New York City financial advisor John Palma (CRD# 6848651) 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 Spartan Capital Securities, having previously been registered with SW Financial and Worden Capital.
Carlson Law Representing Clients of Edwin and Mike Lickiss
Carlson Law is representing approximately 20 clients of Edwin and Mike Lickiss, who may have lost nearly $12 million in promissory notes offered by Edwin Lickiss. Edwin Lickiss, who also goes by “Michael” or “Mike” Lickiss was acting as a financial advisor with his son, Michael Lickiss. He offered promissory notes to investors at… Read More »
Derek Copeland: FINRA Bars Ex-LPL, SilverRock Advisor
Former Charlotte, North Carolina financial advisor Derek Copeland (CRD# 4347572) 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 LPL Financial, doing business as SilverRock Wealth Partners. A Letter of Acceptance, Waiver, and Consent (No. 2023077756701)… Read More »
Martin Barth: FINRA Suspends Ex-SW Financial Advisor
Former Melville, New YOrk financial advisor Martin Barth (CRD# 1030462) was recently sanctioned and suspended in connection with allegations that he misrepresented private placement offerings. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with NI Advisors, having previously been registered with SW Financial.
Joseph Cannon: $2mm Complaint Against Barred Northwestern Advisor
Former Chicago, Illinois financial advisor Joseph Cannon (CRD# 6341199) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Northwestern Mutual Investment Services broker has also received an investor complaint alleging seven-figure damages.
Martin Barwikowski: FINRA Bars Ex-Stirlingshire Advisor
Former New York City financial advisor Martin Barwikowski (CRD# 5257475) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Stirlingshire Investments and Spartan Capital.
Chase Naccarato: $167K Complaint Against CUSO, STCU Advisor
Spokane, Washington financial advisor Chase Naccarato (CRD# 6859373) allegedly recommended an unsuitable investment, according to a recent, six-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with CUSO Financial Services, and that he is a representative of Spokane Teachers Credit Union.
Orion Willis: Prime Wealth Advisor Faces $70K Complaint
Sun City West, Arizona financial advisor Orion Willis (CRD# 4047415) recently received an investor complaint alleging that he misrepresented an illiquid investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Prime Wealth Advisors.
Nick Biddle: $100K Complaint Against Ex-FSC Advisor
St. Pete Beach, Florida financial advisor Nick Biddle (CRD# 4649317) allegedly recommended unsuitable 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 Osaic Wealth, having previously been registered with FSC Securities Corporation and National Planning Corporation.
