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[...]
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[...]