Investment Firms

Jun 25th, 2015
Published by Jeremy Hyndman at Jun 25th, 2015
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Purshe Kaplan Sterling Financial Advisor Charges Clients Double

Mr. Larry Phillips of Purshe Kaplan Sterling Investments and Phillips Group Advisors was recently fined for double-charging clients. Mr. Philips purchased notes, certificates of deposit, and […]
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Jun 24th, 2015
Published by Jeremy Hyndman at Jun 24th, 2015
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National Securities Corporation (NSC) Hides Amount of Compensation Received for Selling Private Placements.

Selling private placements can be very lucrative, paying financial advisors commissions as high as 12%. This creates a classic conflict of interest. While a financial advisor […]
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Jun 23rd, 2015
Published by Jeremy Hyndman at Jun 23rd, 2015
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Kyson & Co. Financial Advisor Withholds Bankruptcy Petitions From Investors

Victor Tien Luu, in Seattle, Washington, has been suspended and fined $10,000 for withholding information from investors and his member firm. According to FINRA, Luu had […]
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Jun 18th, 2015
Published by Jeremy Hyndman at Jun 18th, 2015
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LPL Financial Advisor In Alhambra, California Borrows $19,700 From Investor And Then Lies To Firm

Emiliano Rocha Jr., formerly employed with LPL Financial and Invest Financial Corporation, has been suspended for seven months and fined $10,000. Rocha borrowed $19,700 from an […]
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Jun 12th, 2015
Published by Jeremy Hyndman at Jun 12th, 2015
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PFS Investments Financial Advisor Tells Client To Invest $160,000 In Scam

Norma Monica Skeete from Arlington, Virginia is responsible for an investor losing approximately $160,000. She recommended an investment scam to a client without checking to make […]
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Jun 11th, 2015
Published by Jeremy Hyndman at Jun 11th, 2015
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Indianapolis Financial Advisor Makes Unauthorized Trades In Investors’ Accounts

James Madden, a financial advisor with Raymond James & Associates, has been fined and suspended for unauthorized trading in investors’ accounts. FINRA rules as well as […]
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Jun 10th, 2015
Published by Jeremy Hyndman at Jun 10th, 2015
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Financial Advisor In Lansdale, Pennsylvania Borrows Investor Money

Robert Forest Held Jr., a financial advisor formerly employed with Hornor Townsend & Kent Inc. (“HTK”), has been suspended and fined for borrowing funds from a […]
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Jun 9th, 2015
Published by Jeremy Hyndman at Jun 9th, 2015
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This Merrill Lynch Financial Advisor Stole Over $100K From Investors

Tammy Charlene Petersen, a financial advisor from Carrollton, Virginia, has been barred from the securities industry for stealing $107,378 from firm customers. She wired money from […]
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Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
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Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
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Jun 7th, 2015
Published by Jeremy Hyndman at Jun 7th, 2015
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Financial Advisor In Bethesda, Maryland Hides Felony

An investor deserves to know if their financial advisor has committed burglary and owes back taxes to the IRS. Patrick M. Ebel, formerly employed with NYLife […]
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