UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreAugust 2021- Tacoma, WA According to publicly available records, Gary L. Wells, a currently suspended financial advisor who previously was employed by American Wealth Management, Inc. and Wells Fargo, discloses a…
read moreAugust 2021- Carnegie, PA According to publicly available records, Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreAugust 2021 – Houston, Texas According to a press release from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…
read moreAugust 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien, a financial advisor who is not currently registered, but was last employed by Feltl & Company, …
read moreAugust 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone , a currently unregistered financial advisor who was last employed by NYLife Securities, discloses a regulatory event, …
read moreAugust 2021 According to publicly available records David Alan Levine (CRD#4895654) , a former stockbroker who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…
read moreAugust 2021- Syosset, NY According to publicly available records, Michael Norton, a broker currently employed by David Lerner Associates, Inc., discloses 3 settled customer disputes and 1 pending customer dispute.…
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