Nergard was suspended by the Arizona Corporation Commission Securities Division. Guilford Ward Nergard (CRD#: 2360614) was registered as a broker with Raymond James & Associates[...]
Broker / Advisor Investigations
Rahmani is also accused of providing false or misleading information to FINRA during its investigation. Abdul Matin Rahmani (CRD#: 4269583) was registered as a broker[...]
Korsch is facing six pending customer disputes total. Marc Frederick Korsch (CRD#: 5525226) was registered as a broker with Arkadios Capital in 2021. Previously, Korsch[...]
Torriente has two customer disputes currently pending against him. William Edward Torriente Jr. (CRD#: 4255814) was registered as a broker with Comerica Securities from 2009[...]
Gill is facing four pending customer disputes, all of which were filed in 2021. Carl Damien Gill (CRD#: 1076361) was registered as a broker with[...]
Vizanko is also facing a pending customer dispute alleging misappropriation of funds. Paul Warren Vizanko (CRD#: 2572222) was registered as a broker with Wells Fargo[...]
Kiensnoski currently has three customer disputes pending against him. Jeffrey Alan Kiensnoski (CRD#: 2688017) is registered as a broker with Concorde Investment Services, where he[...]
Last Updated: November 8, 2021 UPDATE: On November 2, 2021 James Seijas was been barred by FINRA for failure to cooperate with their investigation into[...]
Komischke is accused of recommending unsuitable investments. Sarah Komischke (CRD#: 5076489) is registered as a broker and investment adviser with Cetera Investment Services, where she[...]
Last Updated: October 28, 2021 INVESTORS: The U.S. Attorney’s Office for New Jersey claims that advisor Kenneth Welsh stole $2.86M from his investment clients and[...]