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Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud GalleryDouglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud
Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud
INVESTORS: United Planners' Financial Services of America broker Douglas Albert Dulac is facing a pending customer dispute alleging recommendation of unsuitable investments, negligence, and fraud, among other violations. Douglas Albert Dulac (CRD#: 1411702) is registered as a broker and investment adviser with United Planners' Financial Services of America, where he’s been employed since 2008. Previously, [...]
Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony
INVESTORS: Former Henley & Company broker Barbara Ann Bernatzky was barred by FINRA after she refused to appear for on-the-record testimony. Barbara Ann Bernatzky (CRD#: 2535421) was registered as a broker with Henley & Company from 2006 until 2021. Previously, Bernatzky was registered as a broker with Prime Capital Services from 1999 until 2006. Bernatzky [...]
- Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products Gallery
Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
INVESTORS: Former Alliance Global Partners broker Paul Francis Gallivan was named in an SEC complaint alleging unsuitable recommendations of VRSPs to four customers. Paul Francis Gallivan (CRD#: 5793918) was registered as a broker with Alliance Global Partners from 2020 until 2022. Previously, Gallivan was registered as a broker with Aegis Capital from 2017 until 2020. [...]
James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
INVESTORS: Great Point Capital broker James David Beaudoin is facing a pending customer dispute alleging recommendation of unsuitable investments. James David Beaudoin (CRD#: 2992651) is registered as a broker and investment adviser with Great Point Capital, where he’s been employed since May 2022. Previously, Beaudoin was registered as a broker and investment adviser with Berthel, [...]
Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
INVESTORS: Lincoln Financial Advisors broker Richard Glenn Shaw is facing pending customer disputes alleging recommendation of unsuitable investments. Richard Glenn Shaw (CRD#: 1870018) is registered as a broker and investment adviser with Lincoln Financial Advisors, where he’s been employed since 1998. Previously, Shaw was registered as a broker with Cigna Financial Advisors from 1988 until [...]
Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence
INVESTORS: Former Ameriprise Financial Services broker Murray Todd Petersen was named in two pending customer disputes alleging fraud and negligence related to the purchase of a diamond Petersen sold them via an outside business activity. Murray Todd Petersen (CRD#: 1295255) was registered as a broker with Ameriprise Financial Services from 2019 until 2020. Previously, Petersen [...]
Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment
INVESTORS: Ameriprise Financial Services broker Marlene Yacenda is facing a pending customer dispute alleging harassment. Marlene Yacenda (CRD#: 5334370) is registered as a broker with Ameriprise Financial Services, where she’s been employed since 2011. Previously, Yacenda was registered as a broker and investment adviser with Morgan Stanley from 2009 until 2011. Yacenda has one disclosure [...]
