Christopher Shaw (CRD #5011382), a broker registered with Newbridge Securities in Belmont, North Carolina, is involved in two pending investor disputes, according to his BrokerCheck record, accessed on April 23, 2021. Shaw also offers advisory services through CJS Wealth Management. On March 25, 2021, an investor alleged that Christopher Shaw breached his contract and recommended…

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Stephen Kwan (CRD #: 3183681), a broker registered with Madison Avenue Securities, is involved in an investor dispute, according to his BrokerCheck record, accessed on April 23, 2021. Kwan also offers wealth management services through Insight Wealth Management in Austin, Texas. On March 26, 2021, investors alleged that Stephen Kwan recommended multiple alternative investments which…

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Cort Meinelschmidt (CRD #: 4757304), an investment adviser registered with Sentinel Capital Solutions, is involved in a dispute regarding the Hard Rock Drilling Program, according to his Investment Adviser Public Disclosure record, accessed on April 23, 2021. This is his fourth investor dispute. Hard Rock Drilling Disputes On March 26, 2021, an investor alleged that…

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Mark Delgadillo (CRD #: 1436842), a registered investment adviser with SFE Investment Counsel, is the subject of a FINRA fine, according to his Investment Adviser Public Disclosure, accessed on April 23, 2021. On April 20, 2020, Mark Delgadillo voluntarily resigned from D.A. Davidson & Co. following allegations that he executed trades without first contacting his…

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Matthew Platnico (CRD #: 2102086), a broker registered with Allied Millennial Partners, is involved in multiple investor disputes that allege significant losses, according to his BrokerCheck record, accessed on April 26, 2021. Unsuitable Investment Allegations Suitability refers to the FINRA requirement that brokers only recommend investments that fit their investor’s profiles. These profiles include factors…

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Mark Carlson (CRD #: 1024633), a broker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is facing an investor dispute, according to his BrokeCheck record, accessed on April 26, 2021. Carlson also offers advisory services through The Carlson Group. His recent complaint alleges that his financial advice was unsuitable. FINRA defines “suitable” investments as…

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Stephen Berrocal (CRD #: 3071400), a broker registered with Truist Investment Services, is facing a second investor dispute in less than a year, according to his BrokerCheck record, accessed on April 26, 2021. Both of the disputes involve unsuitable recommendations. Stephen Berrocal: Two Unsuitable Investment Allegations FINRA defines “suitable” investments as investments that fit an…

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Michael Ecker (CRD #: 824193) a broker registered with Center Street Securities in Lake Worth, Florida, is involved in a new investor dispute, according to his BrokerCheck record, accessed on April 26, 2021. Both the pending dispute and a settled dispute mention unsuitable investments. On March 17, 2021, an investor alleged that Michael Ecker recommended…

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