INVESTORS: Wells Fargo broker Todd Michael Perry was named in a customer dispute alleging misrepresentation and unsuitability. Todd Michael Perry (CRD: 2939050) is registered as[...]
Broker / Advisor Investigations
INVESTORS: Former Ameriprise Financial Services broker Dusty Lynn Sternadel was barred by FINRA following a failure to appear or on-the-record testimony. Dusty Lynn Sternadel (CRD:[...]
Edward L. Turley has been barred from the financial services industry after failing to provide on-the-record testimony requested by FINRA. Turley still faces over $70M[...]
INVESTORS: G.A. Repple & Company broker Michael William Mandarino was named in a customer dispute alleging that he recommended purchases of GWG Holdings Bonds. Michael[...]
INVESTORS: Former Lawson Financial Corporation broker Pamela Denise Lawson was suspended by FINRA after she failed to comply with an arbitration award or settlement agreement[...]
INVESTORS: Former MML Investors broker Amanda Yvonne Berry was barred by FINRA following a failure to respond to FINRA’s request for information. Amanda Yvonne Berry[...]
INVESTORS: Former LPL Financial broker David Del Rio was barred by FINRA following a failure to respond to FINRA’s request for information. David Del Rio[...]
INVESTORS: Former Coastal Equities broker Robert Charles Mehlin was suspended by FINRA following allegations of exercising discretion in customer accounts without prior authorization. Robert Charles[...]
INVESTORS: Former Hightower Securities broker David Lyle Bahnsen was named in a customer dispute alleging he recommended unsuitable investments. David Lyle Bahnsen (CRD: 4445322) was[...]
INVESTORS: Trust Investment Services broker William Patrick Gamble was named in a customer dispute alleging unauthorized trading. William Patrick Gamble (CRD: 1524488) is registered as[...]