New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct....
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Patrick Moriarty: Aegis Advisor Fired by UBS Financial
Newton, Massachusetts financial advisor Patrick Moriarty (CRD# 4764378) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS Financial Services broker is currently registered as an investment advisor with Aegis Capital.
Mario Payne: TOAMS Financial Advisor Faces 7-Figure Complaints
Jacksonville, Florida financial advisor Mario Payne (CRD# 5445757) has received multiple investor complaints alleging that he recommended unsuitable and concentrated investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is registered as an investment advisor with TOAMS Financial.
Chris Shaw: FINRA Suspends Newbridge Advisor over GPB Capital Sales
A recent sanction against Belmont, North Carolina financial advisor Chris Shaw (CRD# 5011382) alleged that he recommended unsuitable investments in GPB Capital. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities Corporation broker is currently registered as an investment advisor with Newbridge Financial Services.
Bill Campbell: FINRA Suspends Ex-David Lerner Advisor
Former White Plains, New York financial advisor Bill Campbell (CRD# 1180015) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with David Lerner Associates.
Steven McCormick: FINRA Bars Osaic Advisor
Simi Valley, California financial advisor Steven McCormick (CRD# 5059233) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor Osaic Wealth, having previously been registered with Woodbury Financial Services. A Letter of Acceptance, Waiver, and Consent… Read More »
Ken Judd: FINRA Bars Former Valkyrie Equities Advisor
Former Farmers Branch, Texas financial advisor Ken Judd (CRD# 7110607) has been sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was formerly registered as a broker with Valkyrie Equities Corporation.
Tommy Bolton: $269K Annuity Complaint Against Stifel Advisor
Fayetteville, North Carolina financial advisor Tommy Bolton (CRD# 1398115) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Alain Ohayon: Did Aegis Advisor Breach Fiduciary Duty?
Melville, New York financial advisor Alain Ohayon (CRD# 1180975) recently received an investor complaint alleging that he breached his fiduciary duty and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Robert Crothers: Osaic Advisor Faces Suitability Complaint
Holbrook, New York financial advisor Robert Crothers (CRD# 1648677) recently received an investor complaint alleging that his advice resulted in damages. 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 American Portfolios Financial Services.
Shannan Denison: $200K Complaint Against IAA Advisor
An investor complaint against Grand Rapids, Michigan financial advisor Shannan Denison (CRD# 4417573) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with International Assets Advisory and an advisor with International Assets Investment Management, doing business as Denison Financial.
