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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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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Xerxes Mullan (CRD #: 4579996), an investment adviser registered with Avestar Capital LLC, has entered into an Acceptance, Waiver & consent agreement (AWC) with the Financial Industry Regulatory Authority (FINRA), according to his IAPD record, accessed on October 19, 2020. While Mr. Mullan is still a registered investment adviser with the Securities and Exchange Commission,…

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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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Steve Colacurcio (CRD #: 1717483), a broker registered with Dawson James Securities, is involved in a customer dispute over REITs, according to his BrokerCheck record, accessed on October 21, 2020. This is only the latest disclosure on his record — read on for more information on Mr. Colacurcio’s conduct as a broker. On September 17,…

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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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