FINRA was investigating Cox’s termination due to alleged participation in outside business activities. Gilbert Cox (CRD: 2973703) was registered as a broker with Citizen Securities[...]
Broker / Advisor Investigations
Melen is also accused of accepting loans from clients without approval from Morgan Stanley. Steven Melen (CRD: 2357251) is registered as a broker and investment[...]
The customer is seeking over $200K in damages for Barber’s alleged misconduct. Les Leroy Barber Jr. (CRD: 1256348) is registered as a broker and investment[...]
Investors should seek damages after Poland recommended investments that were unsuitable. Daniel Poland (CRD: 1230652) is registered as a broker with McNally Financial Services where[...]
Olave was previously named in a customer dispute alleging unsuitable recommendations. Louis Olave (CRD: 5904834) is registered as a broker with Lincoln Investment where he[...]
Monshi was previously named in two customer disputes that were settled. Mazair Monshi (CRD: 2629721) is registered as a broker and investment adviser with IFP[...]
Inouye was reportedly charged with felony rape of a spouse. Paul Inouye (CRD: 1944879) was previously registered as a broker with Union Square Advisors from[...]
Schottenstein is also accused of refusing to cooperate with FINRA’s investigation into his misconduct. Evan Schottenstein (CRD:4929175) was previously registered as a broker with J.P.[...]
Cohn was sentenced in exchange for his guilty plea to theft of government property. Michael Cohn, former chief compliance officer of GPB Capital Holdings, pleaded[...]
Wolfrum owned and operated Wolfrum Capital Management. Scott Wolfrum (CRD: 2187550) was previously registered with Huntleigh Securities from 2018 until 2019. In March 2021, the[...]