Cowden is also facing two pending customer disputes. Cynthia Cowden (CRD#: 2054676) was registered as a broker with NPB Financial Group from 2013 until 2020.[...]
Broker / Advisor Investigations
Rando was being investigated by FINRA based on her termination from Wells Fargo in October 2020. Valerie Ceballos (CRD#: 6904661) was registered as a broker[...]
Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information
Rando was being investigated by FINRA for possible engagement in an undisclosed outside business activity. Brian Rando (CRD#: 2558458) was registered as a broker with[...]
Garrett also has a pending criminal charge for embezzlement. Matthew Douglas Garrett (CRD#: 6485387) was registered as a broker with MML Distributors in Cordova, TN,[...]
Levine was also barred by the SEC from associating with any broker-dealer or investment adviser in Colorado. Daniel Levine (CRD#: 2874319) was registered as a[...]
Rivera allegedly recommended unsuitable investments to an elderly couple which resulted in significant losses. Miguel Rivera Jr. (CRD#: 3060928) was registered as a broker with[...]
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[...]
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[...]