Stu Pearl (CRD# 1500833), a previously registered broker and current Registered Investment Adviser (RIA) formerly with Sanctuary Advisors and now with International Assets Investment Management, is currently involved in an investor dispute in which a customer is seeking more than $2 million in damages, according to his BrokerCheck record accessed on July 3, 2020. According […]

Walter Valenzuela (CRD# 2280224), a registered representative with Kestra Investment Services LLC (CRD#: 42046)  and a Registered Investment Adviser (RIA) with Kestra Private Wealth Services LLC (CRD#: 155193) in San Diego, California, is currently involved in more than $1 million worth of investor disputes, according to his BrokerCheck record accessed on July 3, 2020. This […]

Stephen Curry (CRD#: 5207046), a broker with Kestra Investment Services LLC (CRD#: 42046) and a Registered Investment Adviser (RIA) with Kestra Advisory Services LLC (CRD#: 283330) is currently involved in an investor dispute in which a client is seeking more than $7 million in damages, according to his BrokerCheck record accessed on July 2, 2020. […]

Sharon Kwan (CRD#: 2578627), now a registered representative with Royal Alliance Associates, Inc. (CRD#: 23131) in Arcadia, California, was previously terminated from National Planning Corporation, according to her BrokerCheck record accessed on July 1, 2020.  On September 25, 2013, Sharon Kwan was terminated from National Planning Corporation. What happened? The firm found that she had […]

Jerry Korchak (CRD#: 1990284), a broker with Kestra Investment Services LLC (CRD#: 42046) and a Registered Investment Adviser (RIA) with Kestra Advisory Services LLC (CRD#: 283330) is currently involved in an investor dispute in which a client is seeking more than $7 million in damages, according to his BrokerCheck record accessed on July 2, 2020. […]

Ryan Wroblewski (CRD#: 6158332), a registered representative with Morgan Stanley (CRD#: 149777) in Garden City, New York, is currently involved in three investor disputes, according to his BrokerCheck record accessed on June 30, 2020. What happened to lead to these disputes? Read on to learn more.  Ryan Wroblewski’s troubles began on March 9, 2020, when […]

Jorge Netto (CRD#: 2432661), a registered representative with Boreal Capital Securities LLC (CRD#: 158599) in Miami, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in undisclosed outside business activities, according to his BrokerCheck record accessed on July 2, 2020. What happened to lead to this FINRA investigation into […]

Bob Berry (CRD#: 1262947), a broker with LPL Financial LLC (CRD#: 6413) and a Registered Investment Adviser (RIA) with Level Four Advisory Services (CRD#: 134086), both in Lexington, South Carolina, is currently involved in an investor dispute, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this dispute? Read […]

Tom Thacker (CRD#: 2041461), a registered representative with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, is currently involved in an investor dispute over unsuitable investments in which a customer is seeking more than $400,000 in damages, according to his BrokerCheck record accessed on June 22, 2020. How did this complaint against Tom Thacker […]

Kevin McCoy (CRD#: 4557189), a broker with Cetera Investment Services LLC (CRD#: 15340) and a Registered Investment Adviser (RIA) with Cetera Investment Advisers LLC (CRD#: 105644), both of The Woodlands, Texas, is currently involved in two pending investor disputes over structured products, according to his BrokerCheck record accessed on June 22, 2020. What led to […]

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