INVESTORS: Delta Securities broker Sean Donovan Casterline was suspended for 18 months by FINRA following allegations that he participated in private securities transactions without providing[...]
Broker / Advisor Investigations
INVESTORS: Former First Allied Securities broker David Robert Kennon is facing two pending customer disputes alleging unsuitable recommendations, overconcentration, misrepresentations, failure to supervise, and breach[...]
INVESTORS: Former Alliance Global Partners broker Michael Shillin was permanently barred by the SEC on January 7, 2022, after facing a civil action for defrauding[...]
INVESTORS: Coastal Equities broker Andrew James Pravlik is facing a pending customer dispute alleging the recommendation of unsuitable investments. Andrew James Pravlik (CRD: 2360456) is[...]
INVESTORS: Former Valic Financial Advisors broker John Quinn was suspended by FINRA following allegations that he participated in private securities transactions without his member firm’s[...]
INVESTORS: Aegis Capital broker Dennis Daniel Herrera was named in a customer dispute alleging unsuitability, breach of contract, and breach of fiduciary duty. Dennis Daniel[...]
INVESTORS: FINRA suspended SW Financial broker Joseph Augustine Lianzo for making unauthorized trades in customers’ accounts. Joseph Agustien Lianzo (CRD: 4516842) is registered as a[...]
INVESTORS: IMST Distributors broker Nicholas Fougler Taggart was named in a customer dispute alleging unsuitable alternative investment recommendations. Nicholas Fougler Taggart (CRD: 4353676) is registered[...]
INVESTORS: Wells Fargo broker Brian Michael Jackson was named in a customer dispute alleging unsuitable investment recommendations. Brian Michael Jackson (CRD: 4733834) is registered as[...]
INVESTORS: Former Worden Capital Management broker Mark Sam Kolta named in multiple customer disputes alleging unsuitable investment recommendations. Mark Sam Kolta (CRD: 5324620) was registered[...]