Howell “Gregg” Ferguson: Forgery Allegations Against Bellville Broker

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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

Oklahoma Regulators Censured Robert Franden Over Discretionary Trading

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

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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

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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 […]

Settlements Reached Annuity Cases Involving LPL Advisor David Taddeo

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David Taddeo (CRD 1163829) has been involved in three recent customer disputes that have settled according to records reviewed by FINRA on January 10, 2022. Customer Settlements Totaled Over $800,000 According to records received from FINRA, a complaint was filed involving David Taddeo’s alleged misrepresentation of variable annuity income benefit riders. That complaint settled for […]

Former Crown Capital Advisor Ben Herritage Involved in Non-Traded REIT Dispute

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Ben Herritage (CRD# 4027113) is involved in a pending customer complaint alleging various forms of misconduct connected to an REIT investment. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 21, 2021, Mr. Herritage is currently registered as a broker and an investment adviser with LPL Financial in Columbia, South […]

LPL Financial Fined Over Advisor’s Fraud

LPL Financial Fined Over Advisor's Fraud

LPL Financial was recently fined and sanctioned by the State of New Hampshire in connection with Dain Stokes’s fraud. According to the consent order: Dain Stokes was a representative at LPL from June 2009 until August 28, 2019. Stokes solicited LPL clients to invest in unsecured promissory notes. He told his clients that the notes […]

LPL Financial Fined Following AML Complaint

LPL Financial Fined Following AML Complaint

In response to a complaint filed by the SEC, LPL Financial has agreed to pay more than $4.8 million dollars in fines and restitution to the Municipality of Mayaguez, Puerto Rico in connection with antifraud violations by Eugenio Garcia Jimenez, Jr., an unregistered investment adviser not affiliated with LPL. According to the order issued by […]

Michael Barranco Involved in $3.2 Million Investor Complaint

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Michael Barranco (CRD# 4825738) is involved in a $3.2 million dispute. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on November 27, 2021, Mr. Barranco was previously registered as a broker with LPL Financial in Montgomery, Alabama. He is currently registered as an investment adviser with Invista Advisors in Montgomery, according to […]