Pal has multiple pending customer complaints alleging a variety of misconduct. Sumitro Pal (CRD#: 4763364) was registered as a broker with Morgan Stanley from 2004[...]
Broker / Advisor Investigations
Kopman was previously named in a customer dispute citing similar allegations. Galen Kopman (CRD#: 3011906) was registered as a broker with Centaurus Financial from 2015[...]
The claimant alleges that the investments recommended by Franklin were unsuitable. Joe Franklin (CRD#: 2673133) was registered as a broker with LPL Financial from 2010[...]
The customer accused Phillips of failure to diversify an account and unsuitable investments. Christopher Lawrence Phillips (CRD#: 4761544) is registered as a broker and investment[...]
FINRA alleged that Tarjanyi falsified documents and forged customer signatures. Ryan Owen Tarjanyi (CRD#: 6065805) was registered as a broker with Trustmont Financial Group from[...]
FINRA was attempting to investigate the allegations leading to Couture’s termination. James Kenneth Couture (CRD#: 4406284) was registered as a broker with LPL Financial from[...]
The client also alleges misrepresentation and failure to supervise. Robyn Simons (CRD#: 1538638) was registered as a broker with Berthel, Fisher & Company from 2006[...]
Hammond is also accused of providing false information on a firm compliance questionnaire. Gary Hammond (CRD#: 2660432) was registered as a broker Hornor, Townsend &[...]
Slocum is barred from associating with any FINRA member firm as of August 2020. Andrew Slocum (CRD#: 3249791) was registered as a broker with Charles[...]
Shillin is barred from associating with any FINRA member firm as of December 2020. Michael Shillin (CRD#: 5927156) was registered as a broker Alliance Global[...]