CFP Board Suspends UBS Broker Joseph Whitney For Fraud

CFP Board Suspends UBS Broker Joseph Whitney For Fraud

Joseph M. Whitney of Mahwah, New Jersey, is no longer registered as a broker advisor. According to his report on the Financial Industry Regulatory Authority website BrokerCheck, he was an adviser to UBS from January 2009 to May 2020. After leaving UBS, he became a representative of Wedbush Securities in June 2020 and left the …

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Former JP Morgan Broker Trevor Rahn Suspended By FINRA

Former JP Morgan Broker Trevor Rahn Suspended By FINRA

Before he was discharged in September 2018 for “unacceptable practices (by the representative) relating to the timing and size of orders entered and resulting transaction charges in a client account and relating to the marking of certain orders for the account as unsolicited,” as indicated on his FINRA broker profile, Trevor Rahn was a registered …

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Gerald Eaton (Heritage Financial Group) Sentenced For Stealing $3.8 Million From Clients

Gerald Eaton (Heritage Financial Group) Sentenced For Stealing $3.8 Million From Clients

As a certified financial planner, 51-year old Gerald Eaton advised clients and invested their funds. He conducted business under the name of Heritage Financial Group, with an office in Acton. $3.8 million is the amount Gerald Allen Eaton is estimated to have cheated clients out of, over a 20-year period, from 1999 (estimated) right up …

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Edmund Zack Aegis Capital Broker Fined and Suspended

Edmund Zack Aegis Capital Broker Fined and Suspended

A Letter of Acceptance, Waiver, and Consent (“AWC”) has been agreed between the Financial Industry Regulatory Authority (FINRA) and Edmund Zack, formerly a broker with Aegis Capital Corporation, on March 19, 2021. The AWC covers the following findings of FINRA: Excessive and Unsuitable Trading and Unsuitable Stock Recommendations It was recommended to a customer who …

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Former UBS Financial Advisor Joe Whitney Charged With Fraud

Former UBS Financial Advisor Joe Whitney Charged With Fraud

“My wife’s family matters which were fully disclosed to my employer, had absolutely nothing to do with the servicing of any of my client accounts, had nothing to do with me, and no client aside from this one’s attorney has ever complained about me in any fashion,” is what broker Joseph Whitney, of Mahwah, N.J., …

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DANIEL JAMES BURFEIND INVESTIGATION

DANIEL JAMES BURFEIND – MORGAN STANLEY, WAYZATA , MN. INVESTIGATION

Haselkorn & Thibaut, P.A., an investor rights law firm, is currently seeking information in connection with claims against DANIEL JAMES BURFEIND – MORGAN STANLEY, WAYZATA, MN. This webpage has been created to facilitate the process. If you have incurred losses resulting from your association with him, we encourage you to join many others in contributing …

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FMN Capital Corp Broker Jeffrey Stanga Faces FINRA Action

FMN Capital Corp Broker Jeffrey Stanga Faces FINRA Action

Failure to fully disclose the nature of his outside business activities has led to the Financial Industry Regulatory Authority (FINRA) suspending FMN Capital Corporation (FMNCC) advisor Jeffrey D. Stanga (CRD #6387255) for 12 months and levying a fine of $10,000 apart from $28,359.00 in restitution. Jeffrey D. Stanga (CRD #6387255) According to his broker report, Stanga has been a …

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Aegis Capital Michael Venturino Complaints Investigation

Aegis Capital Michael Venturino Complaints Investigation

If you have had dealings with Long Island, NY broker Michael Venturino (Venturino, CRD# 5872439) from Aegis Capital, it may not be a bad idea to review your investments now. It might also be a good idea to reach out to Haselkorn & Thibaut, P.A., for a no-cost, confidential discussion about them as there are …

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Merrill Lynch Advisor Ryan Raskin Barred by FINRA

Merrill Lynch Financial Advisor Ryan Raskin Barred by FINRA

The lure of making more money through unauthorized, inappropriate trading and churning has claimed another victim. This time it is Ryan Raskin, former Merrill Lynch advisor, who has been barred by the Financial Industry Regulatory Authority (FINRA), as reported by FINRA on 13th January 2020. In simple terms, churning, or excessive trading in a customer’s …

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$500K Claim Against Calton & Associates for GPB Capital Sales

$500K Claim Against Calton & Associates for GPB Capital Sales

A Financial Industry Regulatory Authority (FINRA) arbitration claim has been filed against brokerage firm Calton & Associates by a Texas retiree, seeking up to $500K in damages. The claim arises from losses suffered by the claimant in private placements of GPB Capital Holdings and other products not traded publicly. The claimant’s account was inherited by …

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