Frederick David Holloway (CRD# 248814) was a previously registered broker. From 1982 to 2019, Mr. Holloway was the sole registered representative and owner of Holloway[...]
Investment Loss Investigations
Three businessmen at the center of an alleged $1.3 billion Ponzi scheme were arrested on Thursday, April 11 and charged with wire fraud, mail fraud,[...]
Scott Patrick Klor (CRD#: 2493369) is a previously registered broker/investment advisor. From 2011 to 2017, Mr. Klor was a financial advisor with LPL Financial in[...]
James Bylenga (CRD#: 705143) is a previously registered broker and investment advisor. From June of 2016 to August of 2018, Mr. Bylenga was employed at[...]
Former broker, Eric Olin Shanks, was recently named in a lawsuit against Cuso Financial Services. The suit alleges the former broker sold fraudulent investment products.[...]
A well-known Charlotte area advisor, James “Jim” Heafner, faces SEC charges he engaged in outside business activities. His member firm, Taylor Captial Management, Inc released[...]
In January of this year, FINRA accepted a waiver signed by Gary L. Pevey. As part of the agreement, the broker consented to monetary sanctions[...]
Earlier this year, industry regulator FINRA barred Benjamin Galloway from practicing as a broker. The decision followed Galloway’s refusal to appear for testimony related to[...]
Bruce Anthony Zaro (CRD#: 1271065) is a registered FINRA broker. Currently, Mr. Zaro is a representative of International Assets Advisory, LLC, based in Plymouth, Massachusetts.[...]
Joshua Zev Miller (CRD#: 5446289) was associated with USAA Financial Advisors in Phoenix, AZ from 2008 to 2017. In 2018, he was briefly employed at[...]