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Articles Tagged with unsuitable investment recommendation

Frederick Levine (CRD #: 1765119), a broker registered with RBC Capital Markets, LLC, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on August 25, 2020. FINRA suspended Mr. Levine after finding that he had recommended that his customers sell his Unit Investment Trusts before their maturation dates […]

Timothy Sackett (CRD #: 2010125), a broker and an investment advisor registered with Oppenheimer & Co., Inc., has an order from the Wisconsin Department of Insurance to pay a fine for an unsuitable annuity transaction, according to his BrokerCheck record, accessed on August 26, 2020.  This is not the only disclosure on Mr. Sackett’s record. […]

Michael McNulty (CRD #: 1493933) a broker and an investment adviser with Lincoln Financial Advisors Corporation, is facing allegations that he recommended unsuitable investments, according to his BrokerCheck record accessed on August 26, 2020. This is not the only disclosure in Mr. McNulty’s record, and investors should be aware of the following information. On July […]

Conrad Corcoran (CRD #: 1009857) is facing allegations that investment documents contained incorrect personal information for clients, according to his BrokerCheck record, accessed August 26, 2020. Mr. Corcoran is a registered investment adviser and a broker with Centaurus Financial Inc. Investors, take note: This latest allegation is not the only disclosure in Mr. Corcoran’s broker […]

Christopher Ortiz (CRD #: 2858628), a broker with National Securities Corporation and a registered investment adviser with National Asset Management, Inc, is facing client allegations regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on August 26, 2020. On July 1, 2020, a client alleged unsuitable investment recommendations. The client is seeking $350,000; the […]

Edward Balmes (CRD #: 2110152), a broker registered with Moloney Securities Co. Inc., is facing allegations that he made unsuitable investment recommendations, according to his BrokerCheck record, accessed August 25, 2020. He is also an investment adviser registered with Moloney Securities Asset Management LLC. On July 27, 2020, a client alleged that Edward Balmes made […]

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