Massachusetts regulators have charged StockCross Financial Services and Peter Edward Cunningham (CRD#: 2400211), one of its brokers/investment advisors, with allegedly engaging in improper trading practices. StockCross is also charged with alleged failure to reasonably supervise its agent. The regulators have charged StockCross and Peter Cunningham of Los Angeles, with allegedly recommending their clients, 30% of […]

SCOTT PATRICK KOZAK (SCOTT KOZAK) CRD#: 1272583, according to FINRA’s BrokerCheck, was discharged from Cetera Advisors LLC of Highlands Ranch, Colorado on July 23, 2018 following allegations of “Violating firm policy prohibiting Personal Securities Transactions.”  Scott Kozak worked as a registered representative with Cetera Advisors LLC in Highlands Ranch, Colorado, from 2001 until he was […]

Business Development Corporation of America (BDCA) Losses? Soreide Law Group is investigating possible claims on behalf of investors who purchased Business Development Corporation of America (BDCA). BDCA is a New York, New York based business development company making debt investments in middle-market companies. Soreide Law Investigating (BDCA) Losses? Business development companies (BDCs) are entities investing […]

Customer Files Suitability Complaint Against Summit Brokerage Soreide Law Group is investigating claims on behalf of customers who invested with David Charles Hill (CRD #818407, Port Orange, Florida). Hill was a registered representative of Summit Brokerage Services, Inc. who was discharged on November 16, 2017. Summit Brokerage Services alleged that Hill did not disclose the […]

FINRA Suspends Securities Services Rep For Private Securities Transactions Peter D. Holler (CRD #838897, Bristol, Tennessee) who was a registered representative of Securities Services Network, Inc., consented to being fined $10,000 and suspended until May 20, 2020 from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, […]

LELAND BLAIR WHITING (BLAIR WHITING) CRD#: 465663 formerly with HORNOR, TOWNSEND & KENT, INC. of SALT LAKE CITY, UTAH, was one of dozens of financial advisors, stockbrokers, financial planners and insurance agents who are being named in a lawsuit as part of an alleged investment fraud that allegedly cost more than 1,000 investors, many retirees, […]

Harold Couglar Barred From Trading Harold F. Couglar (CRD #1193367, San Diego, California) who was a registered representative of Montage Securities, LLC, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) […]

Raymond James Sued George Edward Mathis (CRD #4271854, The Villages, Florida) has been a registered representative of Raymond James & Associates, Inc. since November 18, 2011. His activities between January 24, 2014 and September 30, 2016 – a time he was employed by Raymond James – resulted in a customer-initiated investment-related arbitration dated May 2, […]

Capitol Securities Management Fined For Failing To Supervise Trading In Unit Investment Trusts Capitol Securities Management, Inc. (CRD #14169, Glen Allen Virginia) consented to being censured by Financial Industry Regulatory Authority (“FINRA”) and paying a $100,000 fine pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052215401 that was executed on May 25, 2018. […]