Investors have come forward with complaints about securities broker Ryan Thomas Fleming (CRD:  4378425, Bellevue, WA). Evidently, the securities broker, who worked for Hornor Townsend Kent LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Hornor Townsend Kent LLC clients allege that Fleming made misrepresentations and made unsuitable recommendations. For more on […]

HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

HTK Broker Clay Erickson Suspended For Transferring Investor Funds Without Authorization The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for broker Clay Erickson (CRD#: 1583644, Salt Lake City, Utah) is troubling. Evidently, six of Erickson’s clients brought disputes about his sales practices. Not only that, but FINRA suspended Erickson and issued him a fine for […]