JOE DAVID GAINER of Wells Fargo in Marianna is BARRED
Advisor Joe Gainer Barred by FINRA MARIANNA, FLORIDA Are you a former client of Joe David Gainer in Marianna, Florida? He previously worked with Wells Fargo and has failed to respond to a FINRA investigation. FINRA started looking into Gainer, who allegedly failed to disclose a position of trust in relation to receiving a $3 … Read More "JOE DAVID GAINER of Wells Fargo in Marianna is BARRED"
Forrest Wester Barred from Securities Industry MIDLAND, TEXAS Did you invest with financial advisor Forrest Wester in Midland, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Forrest Wester, who previously worked with Wells Fargo. He was recently expelled from the securities industry by FINRA. FINRA was … Read More "FORREST WESTER of Wells Fargo in Midland TX is BARRED"
Financial Advisor Robert Lee Golding Barred from Securities Industry ALPENA, MICHIGAN Are you a former client of financial advisor Robert Lee Golding in Alpena, Michigan? Our law firm is looking into claims made against Robert Lee Golding also known as Rob Golding, who previously worked with Pruco Securities and Prudential Insurance. According to FINRA’s Disciplinary … Read More "ROBERT LEE GOLDING of Pruco and Prudential is BARRED"
Joao Pinto of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months. … Read More "JOAO PINTO of Spartan Capital is SUSPENDED by FINRA"
Hector Hernandez Barred from Securities Industry SAN ANTONIO, TEXAS Are you a client of financial advisor Hector Hernandez in San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Hector J. Hernandez, who previously worked with Money Concepts Capital. FINRA’s Disciplinary Database discloses in November 2023, … Read More "HECTOR HERNANDEZ of Money Concepts Capital is BARRED"
Richard Michalski with Laidlaw & Company Suspended by SEC NEW YORK, NY Did you lose money with financial advisor Richard Michalski with Laidlaw & Company in New York City, New York? He was recently under investigation by the Securities and Exchange Commission (SEC). The SEC alleged that Richard Michalski engaged in excessive trading or churning. … Read More "RICHARD MICHALSKI of Laidlaw and Company is SUSPENDED"
Cambridge Investment Research Advisor Ed Mercer Barred by FINRA CORAL SPRINGS, FLORIDA Are you a former client of Edward Steven Mercer in Coral Springs, Florida? Ed Mercer was barred by FINRA earlier this month. He previously worked with Cambridge Investment Research and LPL Financial and failed to respond to a FINRA investigation. This … Read More "ED MERCER of Cambridge Investment Research is BARRED"
Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000. FINRA alleged that Fisher circumvented compliance procedures with … Read More "ROYAL GREGORY FISHER of SagePoint Financial is SUSPENDED"
Kevin Kelly, with Avantax Investment Services, Subject of Customer Complaints ATLANTA, GEORGIA Have you invested with stockbroker Kevin Lawrence Kelly from Atlanta, Georgia? We are looking into two complaints made by former customers who filed claims against his brokerage firm, Avantax Investment Services. Since August 2023, Avantax Investment Services has faced two customer complaints, … Read More "KEVIN LAWRENCE KELLY of Avantax Subject of COMPLAINTS"
Centaurus Financial advisor Michael Hamilton Under SEC Investigation BOCA RATON, FLORIDA Are you a current or former customer of advisor Michael Hamilton also known as Michael Young Hamilton, with Centaurus Financial in Fort Myers, Florida? He has been with Centaurus Financial since October 2015 and is under investigation by the Securities and Exchange Commission (SEC) … Read More "MICHAEL YOUNG HAMILTON of Centaurus Under SEC Investigation"