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Alex James, formerly of Allstate Financial Services, Under Investigation by...
Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry...
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Tim Vanlohuizen, Idaho Broker, Involved in $450,000 Worth of Customer Disputes
Tim Vanlohuizen (CRD#: 2166867), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Coeur d’Alene, Idaho, is currently involved in two pending customer disputes, according to...
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Ricardo Urrutia, formerly of Mutual of Omaha Investor Services, Suspended by...
Ricardo Urrutia (CRD#: 5719923), a former broker with Mutual of Omaha Investor Services, Inc. (CRD#: 611) in Paramus, New Jersey, has been suspended by the Financial Industry Regulatory Authority...
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Dave Mock, Pennsylvania FA, Involved in Investor Dispute Over Suitability
Dave Mock (CRD#: 1309680), a registered representative with Trustmont Financial Group, Inc. (CRD#: 18312) and a Registered Investment Adviser (RIA) with Money Management Advisory, Inc. (CRD#: 14983) in...
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Mark Wojno, Michigan Advisor, Involved in Investor Dispute
Mark Wojno (CRD#: 5623841), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to...
View ArticleSylvester Knox Suspended By FINRA Following Regulatory Actions and Client...
Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial...
View ArticleChristopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint
Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by...
View ArticleGregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin
Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his...
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Chad Vandenbusch Facing Client Allegations Regarding Misrepresentations
Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on...
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Richard Crabtree Involved in Investor Dispute Regarding Selling Away
Richard Crabtree (CRD #: 1855649), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has a pending customer dispute alleging selling away and misrepresentation, according to his...
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