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 (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 (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 (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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