Justin Girard: Latest Allegations of Excessive Trading and Unsuitable Investments

Justin Girard (CRD #: 4404768), a broker and an investment adviser registered with J.P. Morgan, is facing client allegations that he executed an excessive number of trades, among other allegations, according to his BrokerCheck record, accessed August 25, 2020. Investors should also make note of two other disclosures in his record related to excessive trades.…

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Marty Dickerson Faces Allegations of Unauthorized Trades

Marty Dickerson (CRD#: 1053338), a broker registered with Centaurus Financial, Inc., is facing allegations that he made an unauthorized trade, according to his BrokerCheck record, accessed on August 25, 2020. This disclosure is the latest of four disclosures on his record. On July 14, 2020, a customer alleged that Marty Dickerson executed unauthorized trades in…

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Mark Yadron Involved in Investor Dispute Over Unsuitable Recommendations

Mark Yadron (CRD #: 1520648), a broker registered with Kestra Investment Services, has received a new investor complaint, according to his BrokerCheck record, accessed on December 1, 2020. Mr. Yadron has 7 other disclosures on his record, which is a relatively high number – just under 8% of brokers have any disclosures on their records.…

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Peter Girgis Under Investigation by FINRA for Excessive Trading

Peter Girgis (CRD #: 4520444), a broker registered with SW Financial, has come under the lens of a Financial Industry Regulatory Authority (FINRA) investigation, according to his BrokerCheck record, accessed on October 23, 2020. There are a number of other client complaints that investors should note. On September 15, 2020, FINRA made a preliminary determination…

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Jeffrey Carter of Raymond James Involved in Customer Dispute

Jeffrey Carter (CRD #: 2902588), a broker registered with Raymond James Financial Services, Inc., is involved in an investor complaint regarding unauthorized trades, according to his BrokerCheck record, accessed September 21, 2020. On July 31, 2020, a client alleged that Mr. Carter executed unauthorized trades, which violates FINRA Rule 2010. The client is seeking $225,079.65;…

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Edward Rulison Subject of Customer Dispute

Edward Rulison (CRD #: 4675587), a broker registered with Morgan Stanley, is facing a customer dispute involving unauthorized trading, according to his BrokerCheck record, accessed on September 16, 2020. Investors should know about another disclosure in Mr. Rulison’s record. On August 20, 2020, a client alleged that Edward Rulison executed unauthorized trades in February of…

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Bernie Adair of Jupiter, Florida Involved in $550,000 Dispute for Allegedly Misrepresenting a Variable Annuity

Bernie Adair (CRD#: 1535429), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) of Jupiter, Florida, became involved in a customer dispute filed on July 15, 2019 in which a client alleges that the broker misrepresented the terms of a variable annuity, per his BrokerCheck record accessed on August 27, 2019.…

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