Wells Fargo’s Charles Shields: FINRA Recommends Disciplinary Action
Charles Shields (CRD# 2067177), a broker registered with Wells Fargo, made unauthorized trades, according to a Financial Industry Regulatory Authority (FINRA) investigation. This allegation can be found in his FINRA BrokerCheck profile, accessed on July 26, 2023. The publicly available record shows that he is registered with his member firm’s office in Wayne, Pennsylvania. FINRA […]
Sterling Hirsch Fined $20,000 by California Regulator
Sterling Hirsch (CRD# 4867105), a broker registered with Infinity Financial Services and doing business under the brand Sterling First Financial, allegedly ignored suitability rules. This allegation can be found in an enforcement action disclosed on his BrokerCheck report, a record published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 12, 2023. More […]
Concourse’s Troy Perkins Allegedly Sold Unsuitable Oil & Gas Products
Troy Perkins (CRD# 4337530), a broker registered with Concourse Financial Group Securities and doing business under the brand Perkins Financial, is involved in a dispute seeking six-figure damages. This dispute can be found in his BrokerCheck profile, a record published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2023. It shows […]
Jeremy Jacobson: FINRA Suspension Alleges Unauthorized Trades
Jeremy Jacobson (CRD# 4437801), formerly a broker registered with LPL Financial, executed more than $1 million in unauthorized trades, according to a Financial Industry Regulatory Authority (FINRA) enforcement action. This sanction can be found on his FINRA BrokerCheck profile, a public record accessed on July 17, 2023. It shows that Mr. Jacobson has been suspended […]
Blake Levy Suspended by FINRA
Blake Levy (CRD# 4593636), formerly a broker registered with Joseph Gunnar & Company and WestPark Capital, allegedly recommended unsuitable private placements, according to an enforcement action disclosed on his BrokerCheck profile. This record, published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2023, notes that he was issued a four-month suspension […]
Complaint: Axiom’s Robert Doyle Caused $1 Million Damages
Robert Doyle (CRD# 2309859), a broker registered with Axiom Capital Management, allegedly exercised discretion in a customer’s account without authorization. MDF Law is investigating the broker for similar conduct, and encourages investors with concerns to contact us immediately. The allegations can be found in his BrokerCheck report, a Financial Industry Regulatory Authority (FINRA) record accessed […]
Green Vista Capital Fires Randall Skrabonja Over Private Investments
Green Vista Capital recently fired broker Randall Skrabonja (CRD# 1858245) following allegations that he violated firm rules. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on June 14, 2023, he operated in the firm’s office in Winter Park, Florida and has been involved in customer disputes. Why Did Green Vista Capital Fire […]
ABCs of Options: What Novice Investors Should Know
The subject of options in investment is a broad one and can appear overwhelming to new investors. Options continue to be a hot topic in the news as investors in platforms like Robinhood drive interest. But how options work is quite simple if you know the basics. Options are merely another asset class that investors […]
Broker Ronald Daley Barred by FINRA Following Theft Allegation
Publicly available records maintained by the Financial Industry Regulatory Authority (FINRA) and accessed on October 20, 2021 indicate that former Ohio-based W&S Brokerage Services broker Ronald Daley has been sanctioned by FINRA and barred from acting as a broker. MDF Law is investigating complaints against Mr. Daley (CRD# 4682165). Donald Daley has spent 12 years […]
401(k) Rollovers: How to Move Your Retirement Account without Getting Burned
A recent study estimated that American workers will have left almost $1.35 trillion behind in retirement accounts after changing jobs. And these aren’t always small balances, either—the researchers estimated the average forgotten account at around $55,000. When you leave a job, you often have the option of leaving your retirement account where it is. However, […]