Posts Tagged ‘selling away’
Anthony 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…
Read MoreKevin Nevin, of Dempsey Lord Smith, Involved in $400,000 Customer Dispute
Kevin Nevin (CRD#: 2460059), a registered representative with Dempsey Lord Smith LLC (CRD#: 141238) in Edina, Minnesota, is currently involved in one pending dispute over suitability, according to his BrokerCheck record accessed on April 22, 2020. On March 30, 2020, a customer filed a complaint against Kevin Nevin, alleging that he made unsuitable investments. The…
Read MoreJohn Jaramillo, formerly of Western International Securities, Terminated for Selling Away
John Jaramillo (CRD#: 2659263), a former registered representative, has been terminated from his role as a broker with Western International Securities, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to John Jaramillo’s termination from Western International Securities? On March 5, 2020, the firm found that John Jaramillo sold an…
Read MoreJonathan Greer, formerly of Arete Wealth Management, Terminated Following Allegations of Selling Away
Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to Jonathan Greer’s departure from Arete Wealth Management? While Jonathan…
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