Ryan Raskin (CRD #: 5539610), a previously registered investment adviser and broker in Beverley Hills, California, has been barred by FINRA, according to a recent FINRA disciplinary action, accessed on January 19, 2021. The details of his agreement with FINRA are provided below, along with two other disclosures on his BrokerCheck record.   On January…

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Gregory McCloskey (CRD #: 2820510), an investment adviser registered with Quiver Financial Holdings, is the subject of a Financial Industry Regulatory Authority (FINRA) disciplinary proceeding, according to his IAPD Record, accessed on December 12, 2020. This disciplinary action involves allegations of undisclosed private securities transactions. For more details, keep reading. On December 1, 2020, FINRA…

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Serge Parakhnevich (CRD #: 5493064), a broker registered with PHX Financial, Inc., was suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on August 25, 2020. On August 6, 2020, Serge Parakhnevich entered into an Acceptance, Waiver and Consent Agreement with FINRA in which he consented to the findings that…

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Jeannette Adcock, a broker and an investment advisor registered with Thurston Springer Financial, was fired for allegedly violating FINRA Rules, according to her BrokerCheck record, accessed August 26, 2020. This is not the only employment issue on her record. On June 15, 2020, Jeannette Adcock was discharged from her position at Sanctuary Securities following allegations…

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Lee Nordstrom (CRD #: 2248261), a broker from LPL Financial LLC, is the subject of a FINRA investigation, according to his BrokerCheck record, accessed on September 17, 2020. This is not the only disclosure on Lee Nordstrom’s record. On August 11, 2020, FINRA initiated an investigation into Lee Nordstrom. The description of the investigation alleges…

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Nico Sharp (CRD #: 5988268), a broker previously registered with CitiGroup Global Markets Incorporated, and an investment adviser previously registered with Spotlight Asset Group, is the subject of a FINRA investigation and a customer complaint regarding a million-dollar security that he facilitated without disclosing his connection to the company, according to his BrokerCheck record, accessed…

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Andrew Pravlik (CRD #: 2360456), a broker registered with Coastal Equities, Incorporated and an investment adviser registered with Coastal Investment Advisors, is facing complaints regarding unsuitable investment recommendations, misrepresentation of investments, and failure to supervise, according to his BrokerCheck record, accessed August 21, 2020. On June 9, 2020, an investor alleged Andrew Pravlik breached his…

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Clyde Jensen (CRD #: 5658476), a broker registered with TD Private Client Wealth LLC, is the subject of a Financial Industry Regulatory Authority (FINRA) investigation, according to his BrokerCheck record accessed on November 20, 2020. Mr. Jensen has several other disclosures on his securities license. On October 28, 2020, FINRA made a preliminary determination to…

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John Cangialosi (CRD #: 3273830), a broker registered with SW Financial, is under investigation by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on October 23, 2020. This is only the latest in a string of disclosures on his record — investors who have worked with Mr. Cangialosi should read more…

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Ryan Tarjanyi (CRD #: 6065805), an investment adviser registered with Trustmont Advisory Group, is the subject of a Financial Industry Regulatory Authority (FINRA) investigation, according to his BrokerCheck record, accessed on October 16, 2020. As a result, FINRA made a preliminary determination to recommend disciplinary action against Mr. Tarjanyi. This is the latest in a…

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