INVESTORS: Cetera Investment Services broker Clark Owen was named in customer dispute following allegations of losses in GWG-L bonds. Clark Owen (CRD: 6096730) is registered as a broker and investment adviser with Cetera Investment Services, where he’s been employed since 2018. Owen was previously registered as a broker with NI Advisors from 2016 until 2018. [...]
BREAKING NEWS: (February 21, 2023) Los Angeles-based investment advisor Antoine Souma has been barred from the financial services industry after failing to cooperate with an investigation into allegations that he engaged in private securities transactions in violation of FINRA rule 3280. Clients of Souma who have suffered investment losses may have claims for damages. Antoine [...]
INVESTORS: New York-based Long Island Financial Group was fined by FINRA for violations of written and supervisory requirements of Regulation Best Interest. FINRA fined and censured New York-based Long Island Financial Group for violating some of the basic written and supervisory requirements laid out by Regulation Best Interest. According to FINRA, these violations date back [...]
INVESTORS: Former Sagepoint Financial broker Delio Eduardo Londono was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Delio Eduardo Londono (CRD: 2695744) was registered as a broker with Sagepoint Financial from 2010 until 2020. Londono was previously registered as a broker with UnionBanc Investment Services from 2008 until [...]
INVESTORS: Cetera Investment Services broker Leo Li-Yuan Chien was named in customer disputes following allegations of selling unsuitable investments. Leo Li-Yuan Chien (CRD: 2821380) is registered as a broker and investment adviser with Cetera Investment Services, where he’s been employed since 2012. Chien has four disclosures on his BrokerCheck report. One customer dispute filed against [...]
INVESTORS: Former SW Financial broker Peter Girgis was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Peter Girgis (CRD: 4520444) was registered as a broker with SW Financial from 2019 until 2022. Girgis was previously registered as a broker with Worden Capital Management from 2016 until 2019. Girgis [...]
INVESTORS: Hilltop Securities broker Stephen Robert Coma was named in customer disputes seeking $13M in damages. Stephen Robert Coma (CRD#: 1414147) is registered as a broker with Hilltop Securities, where he’s been employed since 2020. Previously, Coma was registered as a broker with BB&T Securities. Coma has one disclosure on his BrokerCheck report. June 2022 [...]
INVESTORS: Merrill Lynch broker William Worthen King was named in customer disputes alleging unauthorized trading. William Worthen King (CRD#: 1432593) is registered as a broker and investment adviser with Merrill Lynch, where he’s been employed since 1985. King has eight disclosures on his BrokerCheck report. Three customer disputes filed against King were closed with no [...]
INVESTORS: NI Advisors broker Shirley Ank Wong was named in a customer dispute alleging failure to supervise and unsuitable investment recommendations. Shirley Ank Wong (CRD#: 4869184) is registered as a broker with NI Advisors, where she’s been employed since 2014. Wong was previously registered as a broker with World Group Securities from 2007 until 2008. [...]
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