Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

Waddell Reed Clients Indicate Broker Donald Logan Caused Their Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Donald Logan [CRD#: 5537486, Silverdale, Washington]. Supposedly, at least 5 clients raised serious concerns about the securities broker, who worked for Waddell Reed between 2015 and 2018. Also, the […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

Broker Chris Kubiak Barred By SEC After Pleading Guilty To Wire Fraud Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire […]

Windsor Street's Raana Khan Allegedly Made Unsuitable Sales Of Private Placements Soreide Law Group is reviewing possible investor claims against broker Imtiaz “Raana” Khan (CRD#: 4084250, New York, New York). Apparently, the stockbroker was an executive for Windsor Street Capital, LP from July 21, 2006 to May 31, 2018 before joining Joseph Stone Capital L.L.C. […]

FINRA Issues Suspension, Fine To PlanMember's Raymond Menna The Financial Industry Regulatory Authority (“FINRA”) issued a 45 day suspension and $5,000 fine to PlanMember Securities Corporation broker Raymond Menna (CRD#: 1918097, Farmingville, New York, New York). Evidently, Menna, who worked for PlanMember Securities Corporation from August  12, 2010 to May 30, 2019, executed an Acceptance, […]

FINRA Issues Sanctions To Financial West Group's Sara Ng The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Financial West Group securities broker Sara Ng (CRD#: 2701165, New York, New York). Not only has FINRA issued Ng a $5,000 fine and a suspension in December 2018 for making misleading and […]

FINRA Suspends Paulson Broker MICHAEL NIXON The Financial Industry Regulatory Authority (“FINRA”) announced August 16, 2019 that it issued a $5,000 fine and 15-day suspension to Paulson Investment Company (“Paulson”) securities broker Michael Nixon (CRD#: 2169631, Tampa, Florida). Evidently, the securities broker, who started working for Paulson beginning in December 2015, executed a Letter of […]

FINRA Issues Fine, Suspension To ROGER OWENS The Financial Industry Regulatory Authority (“FINRA”) announced on August 14, 2019 that it issued a 12-month suspension and $10,000 fine to Cetera Advisors securities broker Roger Owens (CRD#: 2359204, Elkton, Maryland). Evidently, Owens submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on July 15, 2019, which FINRA […]