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.[...]
Investment Loss Investigations
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[...]
Earlier this year, broker Suresh Basnet served a 45-day suspension for his role in alleged unapproved private securities transactions. The suspension was one of two[...]
Barbara Bonnie Fox (CRD#: 3206840) is a previously registered broker/investment advisor. From 2012 to 2018, Ms. Fox served as a representative of SunTrust Investment Services[...]
Matthew Philip Amos (CRD#: 1177946) is a former investment advisor. From July 2001 to July 2018, Mr. Amos was a representative with PFA Security Asset[...]
Jay R. Weiser (CRD#: 1511042) is a former broker and registered investment advisor (RIA). From June 2000 to June 2018, Mr. Weiser was employed at[...]