RBC Capital Markets Facing Customer Claims Of Misrepresentation Terry Parker Rider (CRD#: 2724817, Houston, Texas), who worked for RBC Capital Markets, LLC, from July 13, 2005 to April 5, 2017, reported that customers have complained about his sales practices. According to Rider’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, his sales practices have been called […]

Customers File Claims Against David Lerner Associates For Misrepresentation David Lerner Associates, Inc. (CRD#: 5397, Syosset, New York) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported 21 regulatory events and 17 arbitrations concerning allegations and findings of David Lerner Associates, Inc. violations of investment-related rules or regulations, customer harm, […]

Investment Disputes Against Ameriprise Alleging Unsuitability, Fraud Ameriprise Financial Services Inc. (CRD#: 6363, Minneapolis, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”). It has reported 78 regulatory events and 96 arbitrations concerning allegations of Ameriprise’s violations of investment-related rules or regulations. The firm has also reported instances in which customers were […]

Ameriprise, Joseph Lawrence Peggs Face Customer Disputes Joseph Lawrence Peggs (CRD#: 1219721, Seminole, Florida) has been an Ameriprise Financial Services financial advisor since November 6, 2015. Peggs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile shows that at least six investors of Ameriprise Financial Services and NFP Securities, Inc. have disputes Peggs’ sales practices. Those customers […]

Regulators Suspend Thrivent Broker Robert William Ward Robert William Ward (CRD#: 4324025, Eagan, Minnesota) has been a registered representative of Thrivent Investment Management, Inc. since May 19, 2015. The Financial Industry Regulatory Authority (“FINRA”) has suspended Ward in all capacities from associating with FINRA broker-dealers, and fined him $7,500.00 according to a Letter of Acceptance, […]

JERRY DAVIS RAINES (CRD#: 4578689), and   DONNA LYNN BARNARD (Also known as: DONNA LYNN BROOKS, DONNA LYNN STARGELL) CRD#: 5653949, two former brokers from HDVEST INVESTMENT SERVICES of Kilgore, Texas, were barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on September […]

SONYA D CAMARCO (Also known as:  SONIA D FATCHETT, SONYA D FATCHETT, SONYA D FATCHETT-CAMARCO) CRD#: 2427529, a 47 year-old Colorado Springs investment advisor, formerly with LPL Financial in Colorado Springs, was sentenced to 20 years in prison after pleading guilty to single counts of securities fraud and theft totaling more than $1.8 million. SONYA […]

BRUCE ARNOLD PLYER (BRUCE PLYER) CRD#: 1666324 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on October 29, 2018. Without admitting or denying the findings, BRUCE PLYER consented to the sanction and to the entry of findings that he failed to appear and provide FINRA with requested […]

ALEX GERARDO HERRERA CRD#: 3204779 was barred by FINRA on August 8, 2018, from acting as a broker or otherwise associating with a broker-dealer firm. Without admitting or denying the findings, Herrera consented to the sanction and to the entry of findings that he refused to provide information requested by FINRA in connection with its […]