Barred former Wells Fargo financial adviser Aaron Parthemer (CRD# 2546369) accused of participating in outside business activities related to investments in a Miami nightclub. This is also referred to as selling away or selling investments outside of the firm’s supervision. … Continue reading
There are options for customers of Geneos Wealth Management, Inc. financial advisor Bradley Tennison (CRD# 1561988) who is alleged to engage in selling an investment away from his firm. Tennison was registered with Geneos Wealth Management, Inc. in Mesa, Arizona … Continue reading
Erez Law is currently investigating former Summit Brokerage Services, Inc. financial advisor Larry Werbel (CRD# 828351) regarding selling away and unsuitable investment recommendations. Werbel has been registered with Concorde Investment Services, LLC in Chagrin Falls, Ohio from April 2015 to … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Paulson Investment Company LLC financial advisor Ahmed Gheith (CRD# 5783951) who is alleged to engage in selling away private investments from his … Continue reading
Erez Law is currently investigating former Newbridge Securities Corporation financial advisor Dennis Hayes (CRD# 4403550) regarding selling away and private securities transactions. Hayes was registered with Salomon Whitney Financial in Melville, New York for two days from April 25-27, 2017. … Continue reading
Were you the victim of former Cadaret, Grant & Co., Inc. financial advisor Steven Pagartanis (CRD# 1958879)? Pagartanis was registered with Lombard Securities Incorporated in Setauket, New York from September 2017 to March 2018, when he was terminated regarding, “As … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. broker Gary Basralian (CRD# 14385) for unsuitable investment recommendations. Basralian was registered with Royal Alliance Associates, Inc. in Maplewood, New Jersey from 1989 to December 2017, when he was terminated … Continue reading
There are options for customers of Summit Brokerage Services, Inc. financial advisor Ronald Clark (CRD# 1086724). Clark has been registered with Summit Brokerage Services, Inc. in Tampa, Florida since 2009. In August 2011, FINRA sanctioned Clark to $5,000 in civil … Continue reading
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