INVESTORS: Union Capital Company broker Gerald James Ohalloran was named in a customer dispute alleging that he recommended unsuitable investments and conducted unauthorized activity. Gerald[...]
Broker / Advisor Investigations
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred by FINRA in October 2021 after he refused to appear for on-the-record testimony or to[...]
INVESTORS: Former Cambridge Investment Research broker Dale Edward Wright was placed on probation by the Commonwealth of Virginia State Corporation Commission Bureau of Insurance until[...]
INVESTORS: Former National Securities Corporation broker Nicholas John Kraiko was barred by FINRA after he refused to respond to its requests for information. Nicholas John[...]
INVESTORS: Aegis Capital broker Brian Kenneth Court was named in a customer dispute alleging unsuitability, churning, breach of fiduciary duty, and negligence. Brian Kenneth Court[...]
INVESTORS: Hightower Securities broker Peter Joseph Klein was named in three customer disputes alleging violation of suitability obligations in connection with private placements. Peter Joseph[...]
INVESTORS: Former Aegis Capital broker Joseph Francis Valdini was named in a customer dispute alleging churning, unsuitable trade recommendations, breach of fiduciary duty, and negligent[...]
INVESTORS: Former Wynston Hill Capital broker Craig Jay Sherman was suspended for four months by FINRA following allegations that he failed to reasonably discharge supervisory[...]
INVESTORS: Former Cetera Advisor Networks broker Robert Jonathan Spencer was barred by FINRA after he refused to produce documents and information requested in connection with[...]
INVESTORS: National Securities Corporation broker Christopher Edward Bond was suspended for fifteen business days by FINRA following allegations he made unauthorized trades. Christopher Edward Bond[...]