The customer is seeking $245k in damages for Calcena’s alleged misconduct. Maria Florencia Calcena (CRD#: 6348974) is currently registered as a broker with Infinex Investments,[...]
Broker / Advisor Investigations
Shillin has forty-four total disclosures on his BrokerCheck report. Michael Shillin (CRD#: 5927156) was registered as a broker of Alliance Global Partners (“AGP”) from 2018[...]
Brown has only one disclosure on his BrokerCheck report. Patrick Brown (CRD#: 6089009) was registered as a broker with Merrill Lynch from 2012 until 2020.[...]
Niekamp reportedly engaged in outside business activities without providing notice to his firm. Scott Niekamp (CRD#: 3277810) is registered as a broker and investment adviser[...]
Blatz is accused of making unsuitable trades, breach of fiduciary duty, and other violations. Charles Alan Blatz (CRD#: 706158) is registered as a broker and[...]
Gates was discharged from his previous firm, Joseph Gunnar & Co., in January 2020. Matthew Gates (CRD#: 4727945) is registered as a broker with Primary[...]
FINRA initiated an investigation into Morrow following allegations of unauthorized trading. Walter Morrow Allen (CRD#: 1344149) was registered as a broker with Cetera Advisors from[...]
Orlando reportedly generated commissions of $496,872 through the excessive trades. Christopher George Orlando (CRD#: 4136262) was registered as a broker with Spartan Capital Securities from[...]
Stazzone is suspended from the financial industry in all capacities for a period of four months. Alfonse Joseph Stazzone (CRD#: 4908107) was registered as a[...]
Whitney allegedly engaged in dishonest and unethical business practices while employed with UBS Financial. Joseph Whitney (CRD#: 4593351) was registered as a broker with Wedbush[...]