Dominic Tropiano (CRD# 4761462) was a previously registered broker and investment adviser. In 2016, Mr. Tropiano worked for America Northcoast Securities based in Cleveland, Ohio.[...]
Investment Loss Investigations
Ricky Mantei (CRD#: 1098981) is a registered broker and investment advisor. Since 2015, Mr. Mantei has been associated with Centaurus Financial in Lexington, SC. Previously,[...]
Newbridge Securities Corporation (CRD#: 104065) is a brokerage firm licensed to operate in 52 U.S. jurisdiction. In March of 2019, a Newbridge Securities customer filed[...]
Neil Maxwell has been barred from using the designation because his firm. Maxwell Wealth Planning, allegedly invested two senior clients’ funds in a “blockchain” investment[...]
Steven A., Cohen of Brookfied, Conn., can no longer use the designation because he filed for personal bankruptcy in 1997 and 2018, the board said.[...]
Larry C. Grossman of Palm Harbor, Fla., was barred from using the designation for allegedly making misrepresentations and omissions of material fact to his investment[...]
The board barred Thomas T. Riquier of Danvers, Mass., from using the CFP designation for allegedly borrowing at least $800,000 from more than 23 clients[...]
Kevin P. Smith (CRD# 1363302) was a previously registered broker and investment advisor with Morgan Stanley in Minneapolis, Minnesota. FINRA barred Mr. Smith from the[...]
Larry Templin (CRD# 2440316) was a previously registered broker and investment adviser with Centaurus Financial based in Temple, Texas. Following an investigation into allegations of[...]
Andrew L. Schade was a financial planner certified by the Certified Financial Planner Board of Standards (CFP Board). Mr. Schade worked for Phoenix Advisors in[...]