Merrill Lynch Clients Take Aim At Broker Jacquin Fink Over Allegedly Unsuitable Trading Investor Alert! FINRA BrokerCheck shows that investors continue to dispute the sales practices of Merrill Lynch broker Jacquin Fink (CRD#: 207807, New York, New York). Apparently, no less than 10 Merrill Lynch clients disputed Fink’s sales practices, and all of those claims […]

FINRA Bars Bobby Coburn The Financial Industry Regulatory Authority (“FINRA”) announced August 26, 2019 that it barred Securities America broker Bobby Coburn (CRD#: 1464789, Fort Meade, Florida) from the securities industry for non-cooperation in a FINRA investigation. Evidently, the broker, who Securities America discharged on March 20, 2019 after allegations of misconduct, executed a Letter […]

GREGORY DEAN Barred by FINRA On August 15, 2019, the Financial Industry Regulatory Authority (“FINRA”) barred Worden Capital Management LLC securities broker Gregory Dean (CRD#: 4922996, Rockville Centre, NY) for unsuitable trading and churning. Evidently, Dean, a general securities representative and securities principal who worked for brokerages including Worden Capital Management (2014 – 2019) and […]

Soreide Law Group Investigating DAVID BINDELGLASS Soreide Law Group is reviewing possible claims of unsuitability against Morgan Stanley securities broker David Bindelglass (CRD#: 3201389, Paramus, New Jersey). Morgan Stanley disaffiliated with Bindelglass for unauthorized transactions and inappropriate recommendations. Also, clients brought six disputes contesting Bindelglass’ sales practices. Here’s a summary of some of the recent […]

Losses from Austin Dutton? Clients continue to dispute the sales practices of securities broker Austin Dutton (CRD#: 2739167, Doylestown, Pennsylvania). Namely, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that Dutton, who worked for Newbridge Securities Corporation from 2007 to 2017, reports 21 client disputes and a regulatory sanction for his unsuitable recommendations. More specifically, between […]

MARCUS DEBAISE Recommend Unsuitable Investments? The Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that client disputes keep piling on for barred Wells Fargo securities broker, Marcus Debaise (CRD#: 2404266, Glastonbury, Connecticut). Indeed, at least 44 clients filed complaints or arbitration actions about Debaise. 10 of the 44 client disputes come after FINRA announced that […]

RON WILLOUGHBY Sell You Unsuitable UITs? Soreide law Group is reviewing potential investor claims against Morgan Stanley securities broker Ron Willoughby Jr. (CRD#: 2425926, Tempe, Arizona). Notably, the Financial Industry Regulatory Authority (“FINRA”) issued Willoughby a suspension and fine of $5,000 for engaging in an unsuitable pattern of early rollovers of unit investment trust (“UIT”) […]

INVESTOR ALERT: Customer Complaints About CENTAURUS FINANCIAL, CINDY CHIELLINI Cindy Chiellini (CRD#: 1015592, Lexington, South Carolina) is a Centaurus Financial Inc. financial advisor. Apparently, the securities broker, who has worked at Centaurus Financial, Inc. since May 19, 2015, reports at least twelve investor complaints between December 23, 2016 and March 18, 2019, according to FINRA […]

WARNING! Customer Disputes Involving Key Investment Services, DEBORAH CALDER Deborah Calder (CRD#: 4137234, Portland, Oregon) is a previous securities broker of Key Investment Services LLC. She worked in Key Investment Services’ Portland, Oregon offices from March 26, 2014 to March 3, 2017.  Apparently, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Calder shows that […]