Ivan Shore (CRD #: 1012943), a broker registered with Oppenheimer & Co., has consented to a suspension and fine as part of an agreement with the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on November 18, 2020. For more information about FINRA’s findings, keep reading. On November 6, 2020, Ivan Shore…

Read More

Good financial advisors help investors steer their savings toward reliable investments. These securities may not offer spectacular rates of return, but they do offer what most investors want: A reliable way to generate more money without much interference or insider knowledge. You’ve probably heard the saying, “Scared money doesn’t make money.” A more pragmatic take…

Read More

Walter Valenzuela (CRD# 2280224), a registered representative with Kestra Investment Services LLC (CRD#: 42046)  and a Registered Investment Adviser (RIA) with Kestra Private Wealth Services LLC (CRD#: 155193) in San Diego, California, is currently involved in more than $1 million worth of investor disputes, according to his BrokerCheck record accessed on July 3, 2020. This…

Read More

Brian Radoo (CRD#: 2558458), a former registered representative, has been terminated from Next Financial Group, Inc., according to his BrokerCheck record accessed on January 20, 2020. What happened? Next Financial Group, Inc. found that Brian Radoo participated in outside business activities without requesting and receiving the firm’s prior approval. As a result, the firm terminated…

Read More