Broker / Advisor Investigations

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[...]

Butler is accused of negligence and erroneous trading, among other forms of misconduct. Kevin Anthony Butler (CRD#:1138534) is registered as a broker and investment adviser[...]

Lindberg is accused of breach of fiduciary duty and fraud, among other forms of misconduct. Jon Peter Lindberg (CRD#:1085475) was registered as a broker with[...]

Beasley was previously suspended for 7 months by FINRA. Marcus Angelo Beasley (CRD#:3157595) was registered as a broker with Supreme Alliance LLC from September 2019[...]

Komischke is accused of recommending unsuitable investments. Xiao Qin Komischke (CRD#: 5076489) is registered as a broker and investment adviser with Cetera Investment Services, where[...]