WALTER CLARK Sell You Unsuitable Investments? The Financial Industry Regulatory Authority (FINRA) reports on BrokerCheck that clients have disputed the sales practices of Wilmington Capital Securities broker, Walter Clark (CRD#:1803139, Columbia Maryland). Notably, since March 8, 2018, three clients brought disputes about the broker. Those claims come after FINRA permanently barred Clark from acting as […]

PETER MALIS Sell You Unsuitable Investments? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Wells Fargo Clearing Services, LLC financial advisor Peter Malis (CRD#: 317892, Woodland Hills, California). Apparently, Malis, who has been registered through Wells Fargo Clearing Services, LLC since July 1, 2003, reports five client […]

JOHN HOAGLAND Allegedly Makes Unauthorized Trades Soreide Law Group is reviewing possible claims of sales practice violations against Morgan Stanley securities broker John Hoagland (CRD#: 247075, Troy, Michigan). Namely, Hoagland, who worked at Morgan Stanley from June 1, 2009 to January 18, 2018, reports on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report that three […]

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 […]

JAMES BRADLEY SCHWARTZ (JIM SCHWARTZ) CRD#: 3043085 was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Schwartz, a broker formerly with Aegis Capital Corp., was barred following allegations of churning four client accounts. According to FINRA, JAMES BRADLEY SCHWARTZ, was associated with […]

INVESTOR ALERT: EDI Financial Broker William Thurmond Fined For Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) announced that it has sanctioned EDI Financial, Inc. broker William Stafford Thurmond (CRD#: 870133, New York, New York) by issuing him a $25,000 fine, suspending him for fifteen months, and ordering him to disgorge more than $42,000 in […]

INVESTOR WARNING! Allegations Against RBC Capital Brokers ANDREW LEONARD, ANTHONY DEMAIO, DAVID MCILROY, THOMAS MCCRACKEN Andrew Stephen Leonard (CRD#: 5928927, Washington, District of Columbia) is a general securities representative of RBC Capital Markets. Evidently, Andrew Leonard joined the firm’s DC offices on August 22, 2012. Mainly, Andrew Leonard shows on his FINRA BrokerCheck report that […]

ATTENTION INVESTORS: FINRA Fines, Suspends Hillard Lyons Broker CHRISTOPHER BENNETT The Financial Industry Regulatory Authority (“FINRA”) suspended J.J.B. Hilliard, W.L. Lyons LLC broker Christopher Duke Bennett (CRD#: 2510231, Louisville, Kentucky) for exercising discretion in investment accounts without written authorization. Evidently, Bennett executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017054060301 on December 17, 2018, […]

CHRISTOPHER LEE HIBBARD (CHRIS HIBBARD) CRD#: 3176484, a financial advisor formerly with Merrill Lynch of Louisville, Kentucky, was barred by FINRA February 7, 2018, from acting as a broker or otherwise associating with a broker/dealer firm following an internal investigation which also found he had allegedly made unauthorized transactions. According to FINRA’s BrokerCheck, Merrill Lynch […]