FINRA Investigation
Ryan Raskin Barred By FINRA for Failing to Cooperate with Investigation
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…
Read MoreGregory McCloskey Subject of FINRA Disciplinary Action
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…
Read MoreSerge Parakhnevich Suspended by FINRA
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…
Read MoreJeanette Adcock Fired Following Allegation of FINRA Rule Violation
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…
Read MoreLee Nordstrom Investigated Over Trades Made in Dead Client’s Account
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…
Read MoreNico Sharp Subject of FINRA Arbitration Regarding Defrauded Customer
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…
Read MoreAndrew Pravlik: Clients Allege Unsuitable Investment Recommendations
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…
Read MoreClyde Jensen is the Subject of a FINRA Investigation
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…
Read MoreJohn Cangialosi: New FINRA Disciplinary Action Regarding Unsuitable Trades
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…
Read MoreRyan Tarjanyi is Under Investigation by FINRA Following Multiple Allegations of Forgery
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…
Read More