Henderson was accused of engaging in outside business activity. Robert Henderson Jr. (CRD#: 1160413) is registered as a broker and investment adviser with San Blas[...]
Broker / Advisor Investigations
Stratton refused to provide information and documents requested by FINRA in connection with their investigation. Thomas Ward Stratton (CRD#: 1646899) is registered as a broker[...]
Ruiz is accused of targeting elderly investors in his fraudulent scheme. Martin Ruiz, a New York investment adviser, is accused of fraud in connection with[...]
Eaton is accused of stealing money from clients of his investment advisor business. Gerald Allen Eaton is a certified financial planner based near Boston, Massachusetts,[...]
Metcalf is facing six pending customer disputes. Ronald Franklin Metcalf Jr. (CRD#: 1280602) is registered as a broker and investment adviser with Cetera Advisor Networks,[...]
Davis agreed to a $30,000 fine and a suspension for twenty-one months. Lyle Wesley Davis (CRD#: 62352) is registered as a broker with Wilson-Davis &[...]
Baltas was barred by FINRA in 2020 for refusing to appear for testimony. Christ Elias Baltas (CRD#: 2570499) was previously registered as a broker with[...]
Rudnick is accused of paying unauthorized commissions in the sale of promissory notes. The SEC charged James M. Rudnick, a Florida-based real estate developer, with[...]
Heckler reportedly operated a decade-long investment adviser fraud through two hedge funds. The SEC charged South Carolina-based George Heckler for operating a decade-long investment adviser[...]
O’Neill was discharged from Aegis Capital Corporation for failing to keep the firm updated on his enforcement investigation. Daniel James O’Neill (CRD#: 1358245) was previously[...]