My Close Look at Stacy Mari Goldsmith’s Troubles at Herbert J. Sims & Co., Inc.

My Close Look at Stacy Mari Goldsmith’s Troubles at Herbert J. Sims & Co., Inc.

My name is Emily Carter, and as a financial analyst and writer, I’ve been closely following the disputes involving Stacy Mari Goldsmith, a broker at Herbert J. Sims & Co., Inc. Currently, she’s embroiled in a series of pending customer disputes and complaints. These allegations question the suitability of her investment recommendations, causing quite a […]

My Close Look at Stacy Mari Goldsmith’s Troubles at Herbert J. Sims & Co., Inc. Read More »

The Astonishing Fall of John Fagan: A Cautionary Tale in Finance

The Astonishing Fall of John Fagan: A Cautionary Tale in Finance

In the bustling world of finance, it’s not every day that you hear about the mighty taking a fall. Yet, here we are with a somewhat shocking tale—a well-known financial advisor, John Fagan, has been ousted from the realm of the Financial Industry Regulatory Authority, or FINRA, as they’re commonly known. It seems like something

The Astonishing Fall of John Fagan: A Cautionary Tale in Finance Read More »

Grappling with Stockbroker Gustavo Miramontes’ Suspicious Trades

Grappling with Stockbroker Gustavo Miramontes’ Suspicious Trades

As a financial analyst and writer, I’ve been closely following the unfolding scandal around veteran stockbroker Gustavo Miramontes. The discoveries made during the investigation have left many in disbelief. Thanks to the FINRA records, we know that Miramontes’ history includes several customer disputes and a termination from his brokerage firm. Uncovering FINRA Infractions I’m here

Grappling with Stockbroker Gustavo Miramontes’ Suspicious Trades Read More »

Bolton Global Capital Under Investigation for Alleged SEC and FINRA Rule Violations

Bolton Global Capital Under Investigation for Alleged SEC and FINRA Rule Violations

Breaking Down the Allegation As a devotee of both financial markets and legal regulations, Emily Carter is versed in the complex space that arises when these two sectors clash. The recent allegations against Bolton Global Capital (CRD#: 15650) provide a prime example of such an intersection. Rooted in Massachusetts, this reputable firm currently faces unsettling

Bolton Global Capital Under Investigation for Alleged SEC and FINRA Rule Violations Read More »

Is Financial Advisor Daniel Raupp Withholding Investment Details?

As a financial analyst and writer, I’ve come across numerous cases of alleged misconduct in the financial sector. Today, I want to discuss the case of Daniel Raupp, a broker with CONCORDE INVESTMENT SERVICES, LLC, who is currently under investigation. In 2021, it came to light that he may not have fully disclosed key information

Is Financial Advisor Daniel Raupp Withholding Investment Details? Read More »

Churning Allegations and Undisclosed Loans: David Gibbs and J. Alden Associates Under Scrutiny

Churning Allegations and Undisclosed Loans: David Gibbs and J. Alden Associates Under Scrutiny

As a financial analyst and legal expert with over a decade of experience across both sectors, I’ve seen firsthand how the worlds of finance and law intersect in complex and often confusing ways. Having worked at prestigious consultancy firms and law practices, my work has spanned detailed financial analyses, in-depth legal research, and crafting articles

Churning Allegations and Undisclosed Loans: David Gibbs and J. Alden Associates Under Scrutiny Read More »

Eisler’s Alleged Misconduct Risks Reputation at LPL Financial

Eisler’s Alleged Misconduct Risks Reputation at LPL Financial

As a former financial advisor and legal expert with over a decade of experience, I’ve seen my fair share of cases involving alleged misconduct by financial professionals. The recent investigation into Joseph Eisler, a Blue Bell, Pennsylvania-based advisor registered with LPL Financial, is a prime example of the serious consequences that can arise from improper

Eisler’s Alleged Misconduct Risks Reputation at LPL Financial Read More »

My Analysis of Robert Clayton’s FINRA Suspension for Soliciting Trades

My name is Emily Carter, a seasoned financial analyst and writer, and today I’m bringing light to a substantial matter in the financial sector. Robert Clayton, known in our circles as a competent finance broker and investment advisor, found himself in hot water due to falsely labeled transactions. His record-keeping mishap involved tagging trades as

My Analysis of Robert Clayton’s FINRA Suspension for Soliciting Trades Read More »

Gregory Richards Complaint Allegations

Gregory Richards Complaint Allegations

Gregory Richards, a financial advisor in Scottsdale, Arizona, faces serious allegations of broker misconduct. His 24-year career in the securities industry now includes seven customer complaints filed with FINRA. The most recent complaint from April 2023 claims Richards misrepresented investments, causing nearly $500,000 in damages. Multiple settlements highlight a pattern of alleged misconduct, including a

Gregory Richards Complaint Allegations Read More »

Charles Lucas Censured by Washington Finance Department for Supervision Lapses

Charles Lucas Censured by Washington Finance Department for Supervision Lapses

My name is Emily Carter, and I have been carefully following the case of Charles Lucas, a prominent figure in the financial world whose career has taken an unfortunate turn. A report from the Washington State Department of Financial Institutions laid bare a professional misstep: Lucas was fined and penalized for not duly overseeing an

Charles Lucas Censured by Washington Finance Department for Supervision Lapses Read More »

Scroll to Top