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SA Stone Wealth Management Broker Christopher Wendel Barred for Private Securities Transactions
Christopher Wendel (Wendel), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Christopher Lufrano
2 min read
LPL Financial Broker Bradley Everett Gardner Barred for Conversion of Customer Funds
Bradley Everett Gardner (Gardner) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
Christopher Lufrano
2 min read
What is Breach of Fiduciary Duty
Breach of fiduciary duty is one of the most common investor claims against financial advisors (stock brokers) and brokerage firms. At...
Christopher Lufrano
2 min read
Improper Asset Allocation is a Common Investor Claim
What is Asset Allocation? Financial advisors have a duty to recommend suitable investment strategies, including a proper asset allocation....
Christopher Lufrano
2 min read
Forest Securities Broker David Apted Disciplined for Private Securities Transactions
David Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
Christopher Lufrano
2 min read
Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...
Christopher Lufrano
2 min read
Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Legend Securities Broker Marlon Cole Disciplined for Churning and other Misconduct
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Marlon O. Cole (Cole) concerning allegations he...
Christopher Lufrano
2 min read
Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Financial Advisor Brittney Sias Barred for Failing to Cooperate with FINRA Investigation
Former Western International financial advisor, Brittney Jade Sias (Sias), recently settled allegations with the Financial Industry...
Christopher Lufrano
1 min read
Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...
Christopher Lufrano
2 min read
Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Joel David Davidman (Davidman) entered into a Letter of...
Christopher Lufrano
2 min read
FINRA Brings Complaint against Ameritas Broker Thomas Lawrence for Personal Loan with Elderly Custom
Update: Without admitting or denying the allegations, Lawrence consented to the sanctions (two year suspension) and to the entry of...
Christopher Lufrano
2 min read
Former LPL Financial Broker Roger Zullo Barred for Failing to Cooperate with Fraud Investigation
LPL Financial financial advisor, Roger Salvatore Zullo (Zullo), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 min read
FINRA Brings Complaint against Meyers Associates Broker Craig Langweiler for Potential Financial Mis
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Craig Gary Langweiler (Langweiler) in connection...
Christopher Lufrano
2 min read
Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr
H. Beck financial advisor, Peter J. Doyle (Doyle), recently settled allegations with the Financial Industry Regulatory Authority (FINRA)...
Christopher Lufrano
2 min read
Trident Partners Censured and Fined for Inadequate Steepener Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Trident Partners, Ltd. (“Trident”). FINRA...
Christopher Lufrano
2 min read
FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
Christopher Lufrano
2 min read
Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
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