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.[...]
Investment Loss Investigations
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[...]
Robert A. Kahn was a financial planner certified by the Certified Financial Planner Board of Standards (CFP Board). Mr. Kahn worked for Moloney Securities in[...]
William Ornstein (CRD# 500470) is a registered FINRA broker. Since 2001, Mr. Ornstein has been employed as a securities representative of The GMS Group, based[...]
According to reporting from InvestmentNews, an elderly couple from Upstate New York was recently awarded $3.2 million in financial compensation in a FINRA arbitration case.[...]
Anselmo Contreras Jr. (CRD# 4095453) was a previously registered broker and investment advisor. He was a representative of Cambridge Investment Research, based in Angleton, Texas,[...]