Category: Selling Away
Former Summit Equities, Inc. broker Thomas Stappas (CRD# 855198) was barred by FINRA for selling away. Stappas was registered with Summit Equities, Inc. in Parsippany, New Jersey from 1993 to 2018, when he was terminated regarding, “Engaging in an outside … Continue reading
Did you lose money investing with former Transamerica Financial Advisors, Inc. broker Michael Mackay (CRD# 2279775)? Mackay was registered with Transamerica Financial Advisors, Inc. in Cincinnati, Ohio from 2012 to 2019, when he was terminated regarding, “The firm received allegations … Continue reading
Erez Law is currently investigating Texas broker Stephen Hoshimi (CRD# 1977772) regarding engaging in outside business activities, which is also known as selling away. Since 2009, Hoshimi has received 37 customer complaints that were settled for a total of more … Continue reading
Former HD Vest Investment Services broker Thomas Laws (CRD# 4494448) is alleged to recommend unsuitable Santa Fe Gold Corporation investments. Laws was registered with HD Vest Investment Services in Silver City, New Mexico from 2006 to 2017. In April 2019, … Continue reading
Erez Law is currently investigating former UBS Financial Services Inc. broker Nicolas Barrios (CRD# 2122824), who was recently barred by FINRA, regarding selling away. Barrios was registered with UBS Financial Services Inc. in Winter Haven, Florida from 2008 to May … Continue reading
Were you the victim of former Ameritas Investment Corp. broker James Anderson (CRD# 4803514)? Anderson has been registered with Ameritas Investment Corp. in Dakota Dunes, South Dakota from 2004 to 2019, when he was terminated regarding, “Upon conclusion of internal … Continue reading
There are options for customers of former LPL Financial LLC broker Mark Lamkin (CRD# 2121510) who suffered investment losses. Lamkin has been registered with Calton & Associates, Inc. in Louisville, Kentucky since December 2018. Previously, Lamkin was registered with LPL … Continue reading
Were you the victim of former UBS Financial Services Inc. broker Nicholas Barios (CRD# 2122824)? Barios was registered with UBS Financial Services Inc. in Winter Haven, Florida from 2008 to 2019, when he was terminated regarding, Producing Branch Manager (“PBOM”) … Continue reading
Former American Portfolios Financial Services, Inc. broker Mark Hopkins (CRD# 2653473) was barred by FINRA for accepting customer funds for an investment not on the books. Hopkins was registered with American Portfolios Financial Services, Inc. in Grand Blanc, Michigan from … Continue reading
Erez Law is currently investigating former Cuso Financial Services financial advisor Eric Shanks (CRD# 2724083) regarding selling unapproved investments. Shanks was registered with Cuso Financial Services, LP in Richardson, Texas from 2004 to 2014, when he was terminated regarding, “representative … Continue reading