Posts Tagged ‘Due Diligence’
Roy Williams Facing Allegations that He Failed to Perform Due Diligence
Roy Williams (CRD #: 1069297), a registered broker with Center Street Securities, Inc., and an investment advisor registered with Center Street Advisors, Inc., is facing a client allegation that he made unsuitable investment recommendations and did not perform his due diligence, according to his BrokerCheck record, accessed on August 24, 2020. Roy Williams also has…
Read MoreRobert Luley, Jr. Involved in Two Investor Disputes Concerning Due Diligence
Rob Luley, Jr. (CRD#: 4176139), a registered representative with Pruco Securities LLC (CRD#: 5685) and a Registered Investment Adviser (RIA) with Prudential Financial Planning Services (CRD#: 5685) is currently involved in two investor disputes, according to his BrokerCheck record accessed on July 16, 2020. What happened to lead to these disputes? Read on to learn…
Read MoreGregory Paul Facing Allegations of Unsuitability
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that former Utah-based Orchard Securities broker Gregory Paul is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Paul (CRD# 1300697). Gregory Paul has spent 27 years in…
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