Advisor Roy Williams (Williams), currently employed by brokerage firm Center Street Securities, Inc. (Center Street Securities) but doing business as Williams Financial Group has been subject to at least seven customer complaints and one regulatory action during the course of his career. According to a BrokerCheck report the most recent…
Advisor Marshall Isaacson (Isaacson), formally employed by brokerage firms National Securities Corporation (National Securities) and Newbridge Securities Corporation (Newbridge) has been subject to at least six customer complaints, one regulatory sanction, and three tax liens or judgements during the course of his career. According to a BrokerCheck report the customer…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Peter Ianace (Ianace) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs). According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells…
Adviser Michael Greenstone (Greenstone), currently employed at Merrill, Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch), has been subject to at least nine customer complaints during the course of his career. Eight of the nine complaints against Greenstone allege unsuitability. In addition, Greenstone recently had nine customer complaints expunged in…
Advisor James Babineaux (Babineaux), currently employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report the customer complaints concern unsuitable investment recommendations and unauthorized trading. In August 2018, a…
Adviser Stuart Henley, previously employed at Calton and Associates, Inc. (Calton), has been subject to a customer complaint, discharged for his handling of client accounts, and was suspended and fined by the Financial Industry Regulatory Authority (FINRA). Additionally, Henley has also been subject to a tax lien. His most recent…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor David Hirons (Hirons), currently employed by Wedbush Securities Inc. (Wedbush Securities), has been subject to at least four customer complaints and one termination for cause during the course of his career. Hirons’s customer complaints alleges that Hirons…
According to BrokerCheck records financial advisor Stuart Pearl (Pearl), currently employed by International Assets Investment Management, LLC (International Assets) and formerly employed by David A. Noyes & Company (David A. Noyes) has been subject to five customer complaints, two terminations for cause, and one regulatory action during his career. According…
Broker Audrey Croft (Croft), currently employed at Ameriprise Financial Services, LLC (Ameriprise), has been subject to at least three customer complaints and an astonishing ten tax liens during the course of her career. Her customer complaints allege misrepresentation and unsuitable recommendation. Croft’s BrokerCheck report shows a substantial amount of disclosures…
Financial advisor Paul Porter, currently employed at Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to at least four customer complaints during the course of his career. His most recent customer complaints allege unauthorized trading and unsuitability. All of Porter’s complaints have occurred at Wells Fargo – his…