Posts Tagged ‘selling away’
Paul Maynor Permitted to Resign from Ameriprise Following Allegations of Selling Away
Paul Maynor (CRD #: 2786627), an investment adviser registered with Onyx Bridge Wealth Group, has been permitted to resign from his position at Ameriprise Financial, according to his Investment Advisor Public Disclosure record, accessed on May 4, 2021. If you have questions about Maynor’s conduct as a broker, keep reading. Employment Separation After Allegations On…
Read MoreScott Reed Barred By FINRA Following Allegations of Selling Away
Scott Reed (CRD #: 3007033), a previously registered broker and investment adviser with Wells Fargo in Scottsdale, Arizona, has been barred by Wells Fargo following FINRA allegations that he participated in outside securities transactions. This is according to his BrokerCheck record, accessed on March 1, 2021. On February 19, 2021, Scott Reed entered into an…
Read MoreHenry Chang Faces Investor Allegations of Selling Away
Henry Chang (CRD #: 4049732), a broker registered with Morgan Stanley, is facing two investor disputes, according to his BrokerCheck record, accessed on February 23, 2021. On January 8, 2021, an investor alleged that Henry Chang engaged in selling away between April 2018 and January 2021. “Selling away” refers to the practice of selling securities…
Read MoreAnthony Branca Faces Allegations of Selling Away
Anthony Branca (CRD #: 1178639), an investment adviser registered with Woodstock Wealth Management, is facing an allegation regarding his failure to supervise, according to his IAPD record, accessed on January 4, 2021. On October 30, 2020, a client alleged that Anthony Branca had failed to supervise registered representatives regarding a claim of selling away. “Selling…
Read MoreClient Alleges that Candido Viyella Engaged in Selling Away
Candido Viyella (CRD #: 1829255), a broker registered with Morgan Stanley, has a pending investor dispute, according to his BrokerCheck record, accessed December 1, 2020. This dispute alleges selling away, which is an unauthorized business practice. On October 12, 2020, clients alleged that Candido Viyella solicited an outside investment opportunity without his firm’s approval, also…
Read MoreHenry Chang Faces Investor Allegations of Misrepresentation
Henry Chang (CRD #: 4049732), a broker registered with Morgan Stanley, is involved in an investor dispute, according to his BrokerCheck record, accessed on November 23, 2020. This is not the only disclosure on Mr. Chang’s record that investors should note. On October 16, 2020, a client alleged that Henry Chang had engaged in “selling…
Read MoreAndrew Leblanc Suspended by FINRA Over $1.75 Million in Private Transactions
Andrew Leblanc (CRD #: 2607117), a broker registered with Bruderman Brothers, has been suspended by FINRA, according to his BrokerCheck record, accessed on November 18, 2020. This is not the only disclosure on his record — investors should keep reading if they want to know more about his conduct as a broker. On October 28,…
Read MoreScott Reed, Arizona Broker, Resigns from Wells Fargo Clearing Services in Wake of Selling Away Allegations
Scott Reed (CRD#: 3007033), a registered representative with First Financial Equity Corporation (CRD#: 16507) in Scottsdale, Arizona, recently resigned from his position with Wells Fargo Clearing Services LLC after the firm alleged that he engaged in selling away, according to his BrokerCheck record accessed on May 15, 2020. Read on to learn more about selling…
Read MoreJody Pullium, Illinois Broker, Suspended by FINRA
Jody Pullium (CRD#: 3272304), an Illinois-based broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) after he failed to respond to FINRA’s request for information, according to his BrokerCheck record accessed on May 5, 2020. On February 25, 2020, Jody Pullium entered into an Acceptance, Waiver, and Consent (AWC) agreement with the Financial…
Read MoreTodd Avery, Kentucky Investment Adviser, Under Investigation for Selling Unregistered Promissory Notes
Todd Avery (CRD#: 6252909), a Registered Investment Adviser (RIA) with Rite Financial Group LLC (CRD#: 160924) in Lexington, Kentucky, is currently the subject of an investigation alleging that he sold unregistered promissory notes, according to his Investment Adviser Public Disclosure (IAPD) report accessed on May 6, 2020. How did this all come about? On March…
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