North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion Brian Frederick Gimelson (CRD#: 2262474, Princeton, New Jersey) was a registered representative of North Nassau Advisors LLC between June 12, 2014 and November 21, 2017. Gimelson recently pled guilty to two counts of attempting to defeat or evade tax in connection with the sale of […]

Meyers Associates Broker Emil Botvinnik Charged With Fraud Emil Botvinnik (CRD#: 4359481, New York, New York) is a previous registered representative of Meyers Associates, L.P. who was employed from June 19, 2012 to November 17, 2014. The Securities and Exchange Commission (“SEC”) filed a Complaint against Botvinnik alleging that he committed securities fraud. United States […]

TIMOTHY TILTON AYRE (TIMOTHY T. AYRE) of Agawam, Massachusetts had a complaint filed against him by FINRA on September 13, 2018, charging him with securities fraud and unlawful distribution of an unregistered cryptocurrency security called HempCoin. FINRA charged Ayre with the unlawful distribution of an unregistered security because he never registered HempCoin and no exemption […]

Richard Hughes, a former Wells Fargo advisor, has been suspended for 8 months and fined $10,000 by the Financial Industry Regulatory Authority, Inc. (FINRA). Allegedly, Hughes made unsuitable recommendations in unit investment trusts (UITs) and attempted to get a client to make false statements about commissions, according to a letter of acceptance, waiver and consent […]

Soreide Law Group, based in Florida, is currently investigating claims brought by former clients of: HARVEY ALAN WEISENFELD CRD#: 1187453   Harvey Weisenfeld was a registered broker and financial adviser formerly with ALLSTATE FINANCIAL SERVICES, LLC of INVERNESS, FL.  According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Harvey Weisenfeld was […]

Popular Securities Sued Over Unsuitable Puerto Rican Bond Sales Alberto Castaner (CRD #: 1603341, Fort Lauderdale, Florida) has been a registered representative of Popular Securities, LLC from December 8, 2007 to June 27, 2004. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Popular Securities customer filed a complaint concerning Castaner’s conduct on June 21, […]

Customer Files Complaint Against Hilltop Securities Over Excessive Trading Walter Roland Valenzuela (CRD#: 2280224, Del Mar, California) has been a registered representative of Hilltop Securities Inc. since December 10, 2008. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Hilltop Securities Inc. customer filed a complaint on July 23, 2018 refencing Valenzuela’s misconduct. Hilltop Securities […]

Morgan Stanley Broker Fined And Suspended For Settling Away Morgan Stanley Broker Fined And Suspended For Settling Away Lewis Howard Robinson (CRD #1630516, Aventura, Florida) has been a registered representative of Morgan Stanley between December 2, 2009 and October 9, 2015. Robinson consented to being suspended by Financial Industry Regulatory Authority (“FINRA”) and paying a […]

FINRA Investigating UBS’s Phillip George Farmer For Unsuitability Phillip George Farmer (CRD#: 2306865, Wilmington, Delaware) was a registered representative of UBS Financial Services Inc. from February 17, 2009 to January 6, 2016. On October 19, 2017, Financial Industry Regulatory Authority (“FINRA”) launched an investigation into Farmer’s sales practices. Phillip George Farmer Suitability Investigation FINRA BrokerCheck […]