Ivan Shore (CRD #: 1012943), a broker registered with Oppenheimer & Co., has consented to a suspension and fine as part of an agreement with the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on November 18, 2020. For more information about FINRA’s findings, keep reading. On November 6, 2020, Ivan Shore…

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Douglas Stopkey (CRD #: 2209717), a broker and investment adviser registered with Davenport & Company, has been suspended by FINRA, according to his BrokerCheck record, accessed on November 23, 2020. This isn’t the only disclosure on his record, nor is it the only allegation from a regulator. On October 26, 2020, Douglas Stopkey entered into…

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The energy sector is one of the most volatile sectors on the market, making energy securities unsuitable for most investors. According to CNBC, energy is also one of the worst-performing sectors of the past 10 years. Their report attributes its poor performance in part to growing concerns over climate change, and the growing push for…

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Michael Rubel (CRD #: 4935564), a broker and investment adviser in Tennessee, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on October 28, 2020. Mr. Rubel is registered with B. Riley Wealth Management. Investors, take note: This suspension is not the only disclosure on Mr. Rubel’s record. …

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Tony Kassaei (CRD #: 4375259), an investment adviser registered with Equity Advisors, LLC, has been barred by FINRA, according to his BrokerCheck record, accessed on October 20, 2020. FINRA alleges that Mr. Kassaei violated Financial Industry Regulatory Authority (FINRA) Rule 3240, which requires brokers to get approval from their firms before engaging in outside securities…

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Robert Meyer (CRD #: 3074785), a broker registered with Monmouth Capital Management LLC, has agreed to a three-month suspension and a suspension from the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on October 19, 2020. This is the latest in a series of regulatory actions that investors should know about. On…

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Dwight Dykstra (CRD #: 1028210), a former broker and an investment adviser registered with Aegis Wealth Management LLC, has entered into an Acceptance, Waiver, and Consent agreement, according to his BrokerCheck record, accessed on October 14, 2020. On October 7, 2020, the Financial Industry Regulatory Authority (FINRA) alleged that Mr. Dykstra received compensation for raising…

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Daniel Mancuso (CRD #2519423), a broker and investment advisor registered with Paulson Investment Advisors LLC, has consented to official censure from FINRA, according to his BrokerCheck record, accessed on October 6, 2020. Mr. Mancuso has also settled several client disputes related to unsuitable investments. On February 6, 2014, Daniel Mancuso entered into an Acceptance, Waiver,…

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Marshall Isaacson (CRD #: 1140370), a previously registered broker with Newbridge Securities Corporation, has been barred by FINRA, according to his BrokerCheck record, accessed on September 23, 2020. In addition to this regulatory action, Mr. Isaacson has racked up several investor disputes, a civil judgement, and two tax liens. On July 20, 2020, Mr. Isaacson…

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