William Frier (CRD#: 1029781), a Registered Investment Adviser (RIA) with Pathway Advisors Group (CRD#: 290221) in Colorado Springs, Colorado, is currently involved in a customer dispute over leveraged ETFs. He has also been the subject of two regulatory actions from Colorado and Missouri state securities regulators, according to his Investment Adviser Public Disclosure (IAPD) record […]

Daniel Wu (CRD#: 2651056), a Registered Investment Adviser (RIA) with GPS Capital Management LLC (CRD#: 136330) in Burlingame, California, is currently involved in two pending customer disputes in which two clients are seeking a total of $700,000 in damages, according to his Investment Adviser Public Disclosure (IAPD) record accessed on May 11, 2020.  On February […]

Piero DiLorenzo (CRD#: 4670150), a former broker with NYLIFE Securities LLC (CRD#: 5167) in Melville, New York,  has been barred by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 12, 2020.  How did this bar come about? Piero DiLorenzo’s troubles began on June 18, 2019, when NYLIFE Securities LLC […]

Jody Pullium (CRD#: 3272304), an Illinois-based broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) after he failed to respond to FINRA’s request for information, according to his BrokerCheck record accessed on May 5, 2020.  On February 25, 2020, Jody Pullium entered into an Acceptance, Waiver, and Consent (AWC) agreement with the Financial […]

Christopher Shaw (CRD#: 5011382), a registered representative with Pruco Securities LLC (CRD#: 5685) in Charlotte, North Carolina, is currently involved in three pending customer disputes, according to his BrokerCheck record accessed on May 5, 2020.  What led these customers to file complaints against Christopher Shaw? Read on to find out.  On July 8, 2019, a […]

Frank Avallone (CRD#: 4814368), a registered representative with National Securities Corporation (CRD#: 7569) in South Norwalk, Connecticut, is currently involved in two pending customer disputes over suitability, according to his BrokerCheck record accessed on May 7, 2020.  Read on to learn more. On November 7, 2019, a customer alleged that Frank Avallone recommended unsuitable investments. […]

Todd Avery (CRD#: 6252909), a Registered Investment Adviser (RIA) with Rite Financial Group LLC (CRD#: 160924) in Lexington, Kentucky, is currently the subject of an investigation alleging that he sold unregistered promissory notes, according to his Investment Adviser Public Disclosure (IAPD) report accessed on May 6, 2020.  How did this all come about? On March […]

Peter Wittman (CRD#: 4995877), a previously registered broker and current registered investment adviser (RIA) with Redhawk Wealth Advisors, Inc. (CRD#: 146616) in Franklin, Tennessee, is currently involved in a customer dispute over unregistered Woodbridge securities, according to his Investment Adviser Public Disclosure (IAPD) record accessed on May 6, 2020. On February 21, 2020, a customer […]

Shane Appelbaum (CRD#: 4772668), a registered representative with Herbert J. Sims & Co., Inc. (CRD#: 3420) in Boca Raton, Florida, is currently involved in a customer dispute over high-yield certificates of deposit (CD), according to his BrokerCheck record accessed on May 7, 2020. What are high-yield CDs? Why is Shane Appelbaum’s alleged recommendation of high-yield […]

Steven Maher (CRD#: 1011535), a registered representative with American Portfolios Financial Services, Inc. (CRD#: 18487) in Oradell, New Jersey, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 5, 2020. Why was Steven Maher suspended? Read on to find out.  On March 3, 2020, FINRA found […]

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