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…

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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…

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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…

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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…

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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…

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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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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…

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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…

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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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