Financial Advisor Complaints - Financial Advisor Complaints

FMN Capital Corp Broker Jeffrey Stanga Faces FINRA Action

Financial Advisor Complaints / By FinancialAdvisorComplaints

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

Financial Advisor Complaints / By FinancialAdvisorComplaints

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

Financial Advisor Complaints / By FinancialAdvisorComplaints

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

Financial Advisor Complaints / By FinancialAdvisorComplaints

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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Cynthia Cowden (NPB Financial Group) Barred by FINRA for Recommending Unsuitable Investments

Financial Advisor Complaints / By FinancialAdvisorComplaints

Experienced investment fraud lawyers in California, have been called upon to investigate claims of investor fraud of former customers of Cynthia Cowden, or Cynthia Diane Cowden, who used to be a stockbroker at NPB Financial Group. In addition, Cowden, based out of Lake Isabella, California, was also a registered investment advisor, operating under the business …

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