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James Bernthal Named in Complaints and Tax Lien
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that New York-based Network 1 Financial broker James Bernthal is the subject of settled or pending...
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Mark “Goldie” Goldwasser: Breach of Supervisory Duty
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that Florida and New York-based VFinance and National Securities broker Mark...
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David Allen Discharged from Position
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that former Vermont-based Avenir Financial Group broker David Allen is currently not...
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Oppenheimer’s Christopher Coloracci Has Customer Complaints
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that Pennsylvania-based Oppenheimer & Company broker/adviser Christopher Coloracci...
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Wells Fargo’s James Connors Faces Complaint
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 10, 2016 indicate that Massachusetts-based Wells Fargo Advisors broker James Connors is the subject of...
View ArticleRick Frueh Is Not a Licensed Broker or Adviser
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Florida-based IFS Securities broker Rick Frueh is currently not licensed...
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The Investment Center Fined By Texas State Securities Board
According to publicly available records provided by the Texas State Securities Board on August 3, 2016, New Jersey-based broker-dealer The Investment Center has been fined following allegations of...
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Bob Weissbein of First Allied Securities Involved in $250,000 Dispute...
Bob Weissbein (CRD#: 1089065), a registered representative with First Allied Securities, Inc. of Davie, Florida who does business as Complete Financial Inc., is currently involved in a dispute in which...
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Dayton, Ohio Broker Lawrence Brazie Involved in $468,000 Customer Dispute...
Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a...
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Frank Avallone, National Securities Corp. Broker, Involved in Two Disputes...
Frank Avallone (CRD#: 4814368), a registered representative with National Securities Corporation (CRD#: 7569) in South Norwalk, Connecticut, is currently involved in two pending customer disputes over...
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Mark Reinstein, South Carolina Broker, Involved in Two Pending Customer Disputes
Mark Reinstein (CRD#: 1486887), a registered representative with Cabot Lodge Securities LLC (CRD#: 159712) in Greenville, South Carolina, is currently involved in two pending customer disputes,...
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Robert D’Agosta: Client Alleges High Commission on Unsuitable Investments
Robert D’Agosta (CRD #: 1903105), a broker and an investment adviser registered with IBN Financial Services, is involved in a client dispute regarding unsuitable investment recommendations and an...
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Eugene Long Suspended from Securities Industry Over Unauthorized Trades
Eugene Long (CRD#: 2386267), a broker registered with Cadaret, Grant & Co., Incorporated, was suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA),...
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David Turetzky Faces Allegations of Account Mismanagement
David Turetzky (CRD #: 2954337), a broker and an investment adviser registered with Ameriprise Financial Services, is facing multiple allegations that he failed to supervise, according to his...
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Bfc Planning, Incorporated
Bfc Planning is a Registered Investment Advisor firm, based in Cedar Rapids, Iowa. The firm is licensed to provide investor services in 51 U.S. states and territories. As a Registered Investment...
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