Oppenheimer Fired Zach Taylor Over Trading Allegations

Zach Taylor (CRD# 6074776), a broker registered with Saxony Securities and doing business under the brand 9Dot Wealth, was recently fired by his former member-firm. This information is disclosed on his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 11, 2023. The former Oppenheimer & Company representative is registered in Newport Beach, California. […]

Fired Western International Securities Rep Chris Kennedy Involved in $5 Million Complaint

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A pending customer dispute alleged Chris Kennedy (CRD# 4498061), a former representative of Western International Securities, caused more than $5 million in damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on April 7, 2022, he was a registered as a broker in the firm’s Woodland Hills, California office. He is not […]

Former CIO of Infinity Q Funds Charged with Securities Fraud

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On February 17, 2022, the Securities and Exchange Commission charged James Velissaris, the former CIO of Infinity Q Funds with fraud.  The commodities futures trading commission, or CFTC, also filed a complaint.  Here are the allegations from the complaints: From 2017 through February 2021, assets in two mutual funds, the Infinity Q Diversified Alpha mutual […]

O.N. Investment Management Fined Over Conflicts of Interest Complaint

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O.N. Investment Management Company (ONIMCO) was fined by the SEC for breaches of its fiduciary duty to its clients in connection with its selection of investments that benefited its parent company.  Here are the details: Complaint Involves Fund Classes ONESCO, a wholly-owned subsidiary of The Ohio National Life Insurance Company, acted as an introducing broker-dealer […]

Edward Jones Financial Advisor Ronald Molo Indicted By The Feds

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Ronald T. Molo (CRD 4371241), a broker and financial investment advisor formerly associated with Edwards Jones, has been indicted on federal fraud charges for allegedly stealing nearly $800,000 from his clients.  Molo is alleged to have engaged in a scheme to defraud beginning in 2018 involving his customers at Edward Jones.  He is alleged to […]

Tony Kassaei Barred by FINRA Over Real Estate Deals

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Former Centaurus Financial advisor, Tony Kassaei, has been barred by FINRA for his role in a real estate ponzi scheme. Tony Kassaei was most recently registered with Centaurus Financial in Irvine, California. The start date of the bar was September 22, 2020 and here is a copy: Did You Lose Money With Tony Kassaei? Notice: […]