Misconduct Alleged Against Ameriprise Brokers Robert Caldwell And Stephen Tadlock Ameriprise Financial Services brokers Robert Alan Caldwell (CRD#: 1995182, Naples, Florida) and Stephen Christopher Tadlock (CRD#: 5746664, Houston, Texas) have reported troubling allegations on Financial Industry Regulatory Authority (FINRA) BrokerCheck about their activities in the securities industry. Those two brokers engaged in the type of […]

Customer Disputes Sales Practices Of UBS’ John Seiberling Fulton John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida) is a UBS Financial Services Inc. financial advisor. He has been registered with the firm since July 10, 2002. Fulton reported on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that a customer lodged a dispute about […]

Independent Financial Group Sued Over Unreasonable Advice Independent Financial Group (CRD#: 7717, San Diego, California) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported five regulatory events about the firm’s alleged violations of investment-related regulations. Also, several Independent Financial Group representatives, including Steven Collins, John Michael Cione and Leticia Hewko, […]

Edward Jones Sued By Customers Alleging Suitability, Negligence Soreide Law Group is investigating claims on behalf of those who invested with Edward Jones financial advisors including Joe Alan Green, Krystie Lynn Wear, Edward Hardy Dawkins, Kevin Scott Lake and Regina Sheila Gleghorn. Edward Jones (CRD#: 250, Saint Louis, Minnesota) is a Financial Industry Regulatory Authority […]

Cetera Settles Customers’ Claims of Unsuitability And Omissions Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported, inter alia: eight regulatory events in regard to allegations of Cetera Investment Services’ violations of investment-related regulations or rules; and three FINRA arbitration awards […]

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, […]

Customers Sue Aegis Capital Corp For Unreasonable Investment Advice Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 […]

Pruco Securities Dismisses Broker For Violating Annuity Regulations Gerald Ernest Vinella Junior (CRD#: 6260012, East Brunswick, New Jersey) is a prior registered representative of Pruco Securities, LLC. According to Vinella’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, Vinella was employed as a Pruco Securities, LLC registered representative between November 1, 2013 and June 28, 2016, […]