Category: Selling Away
Former Morgan Stanley financial advisor David Olson (CRD# 1700644) barred by FINRA for engaging in outside business activities. Olson was registered with Morgan Stanley in St. Petersburg, Florida from 2010 to January 2017, when he was terminated regarding, “RR discharged … Continue reading
Did you lose money investing with former FSC Securities Corporation financial advisor Barry Hartman (CRD# 1361232)? Hartman was registered with FSC Securities Corporation in Missoula, Montana from 2002 to 2015, when he was terminated regarding, “Registered representative terminated for violation … Continue reading
Were you the victim of former SA Stone Wealth Management Inc. financial advisor Christopher Wendel (CRD# 1930870) who is allegedly involved in the $1.22 billion Woodbridge Group of Companies Ponzi Scheme? Wendel was registered with SA Stone Wealth Management Inc. … Continue reading
Erez Law is currently investigating former Morgan Stanley financial advisor Guillermo Valladolid (CRD# 4553357) regarding selling away. When a financial advisor sells an investment to a client without his brokerage firm’s permission, the broker is selling investments away from the … Continue reading
Erez Law is currently investigating former National Planning Corporation broker William Glaser (CRD# 1274847) regarding selling away. Glaser was registered with National Planning Corporation in St. Albans Rd, Missouri from 2007 to 2017, when he was terminated regarding, “The firm … Continue reading
Erez Law is currently investigating former Axa Advisors, LLC financial advisor Chad Hornaday (CRD# 2776038) regarding selling away. Hornaday was registered with Axa Advisors, LLC in Carlsbad, California from 2013 to 2016, when he was terminated regarding, “RR was permitted … Continue reading
Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner financial advisor Jerry Guttman (CRD# 1078383) regarding offering an unapproved investment to his clients. Guttman was registered with United Planners’ Financial Services Of America A … Continue reading
Erez Law is currently investigating LPL Financial LLC financial advisor Thomas Oliphint (CRD# 1172870) regarding outside business activities. Oliphint was registered with LPL Financial LLC in San Antonio, Texas from 2006 until December 2016 after he was terminated regarding, “Violation … Continue reading
Erez Law is currently investigating former Ameriprise Financial Services, Inc. financial advisor Stephen Mosley (CRD# 4900781) regarding participating in outside business activities not vetted by his member firm. Mosley was registered with Ameriprise Financial Services, Inc. in Lake Havasu, Arizona … Continue reading
Erez Law is currently investigating former FSC Securities Corporation financial advisor Tim Cannady (CRD# 5267061) regarding bank fraud and a fraudulent investment fund. Cannady was registered with Roosevelt Equity Corporation in Charlotte, North Carolina from May to November 2011. Previously, … Continue reading