INVESTORS: Wells Fargo broker Todd Michael Perry was named in a customer dispute alleging misrepresentation and unsuitability. Todd Michael Perry (CRD: 2939050) is registered as a broker and investment adviser with Wells Fargo, where he’s been employed since 2022. Previously, Perry was registered as a broker and investment adviser with UBS Financial Services from 2014 [...]
INVESTORS: Former Ameriprise Financial Services broker Dusty Lynn Sternadel was barred by FINRA following a failure to appear or on-the-record testimony. Dusty Lynn Sternadel (CRD: 5872600) was registered as a broker with Ameriprise Financial Services, where she was employed from 2018 until 2022. Sternadel was previously registered as a broker with Morgan Stanley from 2015 [...]
Edward L. Turley has been barred from the financial services industry after failing to provide on-the-record testimony requested by FINRA. Turley still faces over $70M in pending customer disputes. The veteran broker has already settled multiple customer disputes for upwards of $70M. Those disputes involved allegations of been accused of misconduct unauthorized exercise of discretion, [...]
INVESTORS: G.A. Repple & Company broker Michael William Mandarino was named in a customer dispute alleging that he recommended purchases of GWG Holdings Bonds. Michael William Mandarino (CRD: 4443175) is registered as a broker and investment adviser with G.A. Repple & Company, where he’s been employed since 2017. Mandarino was previously registered as a broker [...]
INVESTORS: Former Lawson Financial Corporation broker Pamela Denise Lawson was suspended by FINRA after she failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Pamela Denise Lawson (CRD: 1475253) was registered as a broker with Lawson Financial Corporation, [...]
INVESTORS: Former MML Investors broker Amanda Yvonne Berry was barred by FINRA following a failure to respond to FINRA’s request for information. Amanda Yvonne Berry (CRD: 5651609) was registered as a broker with MML Investors, where she was employed from 2019 until 2020. Berry was previously registered as a broker with NY Life Securities from [...]
INVESTORS: Former LPL Financial broker David Del Rio was barred by FINRA following a failure to respond to FINRA’s request for information. David Del Rio (CRD: 4771963) was registered as a broker with LPL Financial, where was employed from 2017 until 2018. Del Rio was previously registered as a broker with SunTrust Investment Services from [...]
INVESTORS: Former Coastal Equities broker Robert Charles Mehlin was suspended by FINRA following allegations of exercising discretion in customer accounts without prior authorization. Robert Charles Mehlin (CRD: 736694) was registered as a broker with Coastal Equities, where was employed from 2019 until 2022. Mehlin was previously registered as a broker with Wells Fargo from 2015 [...]
INVESTORS: Former Hightower Securities broker David Lyle Bahnsen was named in a customer dispute alleging he recommended unsuitable investments. David Lyle Bahnsen (CRD: 4445322) was registered as a broker with Hightower Securities, where was employed from 2015 until 2022. Bahnsen was previously registered as a broker with Morgan Stanley from 2009 until 2015. Bahnsen has [...]
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