Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations....
Read MoreRecent Blog Posts
Chris Conover: SEC Sanctions Hudson Companies Advisor
Pearl River, New York financial advisor Chris Conover (CRD# 2919616) has been sanctioned by the Securities and Exchange Commission (SEC) in connection with allegations that he failed to disclose conflicts of industry. Financial Industry Regulatory Authority and SEC records show that he is currently registered as an investment advisor with Hudson Companies.
Brad Whalen: $235K Complaint Against Green Vista Advisor
Winter Park, Florida financial advisor Brad Whalen (CRD# 2582276) allegedly violated state and federal securities laws, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Green Vista Capital, having previously been registered with The Strategic Financial Alliance.
Matthew Leisman: $45K Bond Complaint Against Westport Advisor
Kansas City, Missouri financial advisor Matthew Leisman (CRD# 2113061) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Westport Advisory Group.
Mitchell Pindus: Wells Fargo Advisor Lands $200K Complaint
Los Angeles financial advisor Mitchell Pindus (CRD# 1268550) recently received an investor complaint alleging that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo.
Cameron Clark: Suitability Complaint Against Members Financial Advisor
Albuquerque, New Mexico financial advisor Cameron Clark (CRD# 5010604) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Members Financial Services
Troy Brown: Edward Jones Advisor Receives Investor Complaint
Oklahoma City financial advisor Troy Brown (CRD# 2262142) allegedly breached his fiduciary duty to a client, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Edward Jones.
Rich Pascale: Classic Benefit Planners Advisor Faces $340K Complaint
A recent investor complaint against Massapequa Park, New York financial advisor Rich Pascale (CRD# 3221955) alleges that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LifeMark Securities. He is also a representative of Classic Benefit Planners.
Elias Aziz: Ex-Morgan Stanley Advisor Lands Suitability Complaint
A recent investor complaint against Houston, Texas financial advisor Elias Aziz (CRD# 4545016) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the former Morgan Stanley advisor is currently registered as a broker with UBS Financial Services.
Ariel Rivero: FINRA Sanctions Former Jeffries Advisor
Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Insigneo Securities and an investment advisor with Insigneo Advisory Services. He was previously registered with Jeffries.
Joshua Cox: $80K Complaint Against LPL Advisor
Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Everest Wealth Advisors.
