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[...]
Broker / Advisor Investigations
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[...]
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[...]
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,[...]