Ed Baroncini: Excel Wealth Adviser Involved in ETF Disputes
Ed Baroncini (CRD# 3043354), a broker registered with LPL Financial, is involved in investor disputes alleging that supervisory failures caused more than $1 million in damages. MDF Law is investigating the Manchester, Connecticut financial professional and his advisory firm, Excel Wealth Management, for similar conduct. We urge investors with concerns to contact us immediately. More […]
Former LPL Broker Deborah Anderson Involved in Nine Disputes
Deborah Anderson (CRD# 1795405), formerly a broker registered with LPL Financial, is embroiled in nine investor disputes, according to her BrokerCheck profile. This Financial Industry Regulatory Authority (FINRA) record, accessed on July 31, 2023, additionally describes her termination from LPL Financial over alleged rule violations. More information about the allegations against the former San Diego […]
Azmi Sharif Terminated by LPL Over Outside Business Activities
On December 20, 2022, LPL Financial announced it terminated Azmi Sharif (CRD # 2343413). Mr. Sharif previously worked for LPL Financial in Elmhurst, Illinois. He is also affiliated with Sharif Wealth Strategies, Inc. This article is based on information that was gathered from FINRA BrokerCheck as of March 9, 2023. If you lost money investing […]
LPL’s Robert Li Involved in Second Investor Complaint
Robert Li (CRD # 4068255) is the subject of a second customer complaint concerning the use of margin, according to records accessed from the Financial Industry Regulatory Authority, or FINRA. Mr. Li is currently associated with LPL Financial in Naperville, Illinois. He is also affiliated with a company called RL Wealth Management Group. This article […]
Did You Invest with Rhett Bedwell?
LPL Financial was censured and fined by the Financial Industry Regulatory Authority (FINRA) in connection with its failure to supervise Rhett Bedwell (CRD 5664392) on December 7, 2022. While not named in the acceptance, waiver, and consent letter, Bedwell is identified based on the details provided in the letter. FINRA imposed a fine of $150,000 for […]
Howell “Gregg” Ferguson: Forgery Allegations Against Bellville Broker
Former LPL Financial broker Gregg Ferguson (CRD# 4400990) allegedly forged his customer’s signature, according to a recent enforcement action against him. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on April 6, 2022, the Bellville, Texas-based representative was suspended from acting as a broker. Copy of FINRA Fine Involving Howell Ferguson FINRA: […]
FS Energy and REIT Complaints Continue for former LPL Rep Kevin Houser
Ameriprise Financial Services broker Kevin Houser (CRD# 2513167) is involved in pending customer disputes alleging more than half a million dollars in damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 17, 2022, he is currently affiliated with the firm’s branch office in Center Valley, Pennsylvania. Pending Complaints Allege Unsuitable […]
Todd Sivak Involved in Investor Dispute Over Mutual Fund Meltdown
Summit Street Wealth Management broker/adviser Todd Sivak (CRD# 2201246) is embroiled in a pending customer dispute alleging his advice led to substantial losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 16, 2022, he currently works out of the firm’s office in Oconomowoc, Wisconsin. Customer Complaint: Mutual Fund Recommendation Caused […]
Rex Harris Fined by State of Montana Over REIT Sales
Harris Financial broker/adviser Rex Harris (CRD# 1708799) was sanctioned in 2016 by the Montana Office of the Commissioner of Securities and Insurance. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 23, 2022, he was last based in Whitefish, Montana. He is currently not registered as a broker or an investment […]
Former LPL Advisor John Quinn Suspended Over Hemp Investments
John Quinn (CRD# 2576416) has been suspended from acting as a broker. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 3, 2022, FINRA sanctioned him over findings he participated in an unapproved private securities transaction. Formerly registered with Valic Financial Advisors in Berkeley Heights, New Jersey, Mr. Quinn is no […]