<strong>Joan Norton: FINRA Sanctioned Woburn Broker over Rollover</strong>

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Joan Norton (CRD# 1777913) was sanctioned by securities authorities in Massachusetts in connection to allegations she provided unsuitable investment advice, including annuity rollover recommendations. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 8, 2022, she was previously registered with Ausdal Financial Partners in Woburn, Massachusetts. Norton Sanctioned over Annuity Complaints […]

Brett Ellen Embroiled in Disputes with Investors Seeking Millions in Damages

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Brett Ellen (CRD #: 1460478), a broker registered with Metric Financial in Atlanta, Georgia, is facing two investor disputes that allege he recommended risky investments, according to his BrokerCheck record, accessed on January 10, 2022. Ellen has an especially high number of investor disputes – 16 in total. The most recent dispute, filed on November […]

Robert Alvarez Fined by the State of Louisiana Over Dishonest Practices

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Robert Alvarez (CRD #: 2242198), an investment adviser registered with International Assets Advisory, was fined by the State of Louisiana, according to his BrokerCheck record, accessed on November 10, 2021. September 21, 2020: State Alleges Robert Alvarez Engaged in “Dishonest Practices” On September 21, 2020, the State of Louisiana imposed a civil fine, following allegations […]