Cecilia Chou Allegedly Failed to Disclose Outside Business Activity
Cecilia Chou (CRD# 5901758) resigned as a Transamerica Financial Services broker over allegations of misconduct. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on June 18, 2023, she was affiliated with the firm’s office in Aurora, Illinois, and has remained unregistered as a broker since her resignation. Resignation Stemmed from Alleged Outside […]
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 […]
Bill King Resigned from Merrill Lynch Over Trading Violations: Customer Suits Followed
Bill King (CRD# 1432593) recently resigned from his position as a broker with Merrill Lynch in Vero Beach, Florida. According to his Financial Industry Regulatory Authority BrokerCheck report, accessed on June 11, 2023, his resignation stemmed from alleged trading violations. The financial professional, who is not currently registered with any broker-dealer firm, has also been […]
Does FINRA’s BrokerCheck Protect Investors from Bad Financial Advisors?
Most financial advisors are likely honest and hardworking. Unfortunately, there is a statistically small number of “bad actors” in the industry. If you don’t check your advisor’s record, you might be unknowingly working with one of these problem individuals. FINRA BrokerCheck: A Potential Solution? The Financial Industry Regulatory Authority, known as FINRA, is a private […]