INVESTORS: Former Transamerica Financial Advisors broker Mark Smith was barred by FINRA following refusal to appear for testimony in connection with investigation. Mark Smith (CRD: 5776360) was registered as a broker with Transamerica Financial Advisors from 2012 until 2021. Previously, Smith was registered as a broker with World Group Securities from 2011 until 2012. Smith [...]
INVESTORS: Edward Jones broker Dylan Casey Hales was named in a customer dispute alleging he misled and provided false information to a customer regarding tax implications. Dylan Casey Hales (CRD#: 6703890) is registered as a broker and investment adviser with Edward Jones, where he has been employed since 2016. Hales does not have any other [...]
INVESTORS: American Trust Investment Services Broker was named two pending customer disputes alleging breach of fiduciary duty and unsuitable investment recommendations. David Richard Geake (CRD#: 3088891) is registered as a broker and investment adviser with American Trust Investment Services, where he has been employed since 2018. Previously, Geake was registered as a broker and investment [...]
INVESTORS: Former Windsor Street Capital broker Michael Alejandro Castillero was named in a lawsuit filed by the SEC alleging that he, as well as other defendants, operated a Ponzi-like scheme. Michael Alejandro Castillero (CRD#: 4583917) was registered as a broker with Windsor Street Capital from June 2017 until October 2017. Previously, Castillero was registered as [...]
INVESTORS: First Allied Securities broker Jeffrey Brian Forehand was named in a customer dispute alleging recommendation of unsuitable, high-risk investments. Jeffrey Brian Forehand (CRD#: 1618003) is registered as a broker with First Allied Securities, where he’s been employed since 2008. Previously, Forehand was registered as a broker and investment adviser with FFP Securities from 2004 [...]
INVESTORS: Trust Investment Services broker Todd Dwain Gauthier was named in a customer dispute alleging recommendation of unsuitable investments. Todd Dwain Gauthier (CRD#: 14429968) is registered as a broker and investment adviser with Trust Investment Services, where he has been employed since 2016. Previously, Gaithier was registered as a broker and investment adviser with Wachovia [...]
INVESTORS: Former Trust Investment Services broker Linda Rotsztein was named in a customer dispute alleging recommendation of unsuitable investments. Linda Rotsztein (CRD#: 4927745) was registered as a broker with Trust Investment Services from 2007 until 2021. Rotsztein does not have any other experience in the securities industry. Rotsztein has two disclosures on her BrokerCheck report. [...]
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INVESTORS: Stifel, Nicolaus & Company broker Kenneth David Blumberg was named in a customer dispute alleging failure to diversify, unsuitable investments, misrepresentation and claim violation of common law fraud, breach of fiduciary duty, and negligence. Kenneth David Blumberg (CRD#: 1585520) is registered as a broker and investment adviser with Stifel, Nicolaus & Company, where he’s [...]
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