Recent Posts in the General Category

• Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into The Possible Misuse of Elderly Client Assets

  Aug 8, 2019
  Robert Frederico Montes (CRD# 835488) has been barred by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate with regulators ...
  Posted By Meyer Wilson
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• SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3M Investor Fraud

  Jul 31, 2019
  Kerry Lee Hoffman (CRD# 1061740) has been sued by the SEC for allegedly defrauding at least 46 investors out of $3.3 million dollars. The alleged ...
  Posted By Meyer Wilson
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• Ohio Broker Michael Mackay Barred Over FINRA Investigation into Outside Business Activity

  Jul 10, 2019
  Ohio Broker Michael Richard Mackay (CRD#2279775) has been barred by FINRA for failing to comply with a regulatory investigation into alleged outside ...
  Posted By Meyer Wilson
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• Utah LPL Rep Jason Nelson Barred by FINRA

  Jun 18, 2019
  Jason Reed Nelson, a former LPL Financial representative in Tremonton, Utah, has been barred by FINRA over failing to cooperate with an investigation ...
  Posted By Meyer Wilson
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• Former Advisor William Hobby Implicated in 20+ Customer Disputes

  May 28, 2019
  Former Broker / Advisor William David Hobby (CRD# 2240076) has been implicated in over 20 customer disputes, according to FINRA’s online BrokerCheck ...
  Posted By Meyer Wilson
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• Broker Matthew Buchsbaum Faces Investor Complaints

  May 22, 2019
  UBS Financial Services Inc.’s broker Matthew Buchsbaum (CRD# 2220565) is facing a number of complaints from customers who are alleging that he ...
  Posted By Meyer Wilson
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• New Jersey Broker Andrew F. Perry Faces Investor Complaints

  May 16, 2019
  Financial Broker Andrew F. Perry’s conduct is the subject of two pending complaints lodged by customers who claim they suffered significant financial ...
  Posted By Meyer Wilson
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• Louisville Broker-Advisor Mark T. Lamkin Faces Investor Complaints

  May 14, 2019
  Did you suffer financial losses investing with Mark T. Lamkin? The Louisville Broker / Advisor (CRD# 2121510) is currently facing complaints from ...
  Posted By Meyer Wilson
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