Close Menu
Free Consultation: 305-965-1373

Recent Blog Posts

Abraham Biderman: Palladium Capital Advisors Managing Director Barred

By Chase Carlson |

Abraham Biderman, former Managing Director of Palladium Capital Advisors of New York, New York, was barred by FINRA as a result of failing to comply with FINRA’s investigation related to allegations that Biderman potentially participated in private securities transactions. In February 2018, Biderman was terminated by Palladium over suspicion of “possible violation of The Firm’s… Read More »

Facebook Twitter LinkedIn Google Plus

Joseph Clottey: Georgia Financial Advisor Barred By Regulator

By Chase Carlson |

Joseph Clottey of Lawrenceville, Georgia has been barred by the Financial Industry Regulatory Authority (FINRA) as of June 19th, 2018. This comes after his employment was terminated by Merrill Lynch for “making incomplete entries to an internal tracking system of client opportunities, resulting in otherwise unearned compensation.”  Subsequently, FINRA made multiple requests for Clottey to appear on… Read More »

Facebook Twitter LinkedIn Google Plus

Steven Knutilla: Perham, Minnesota Financial Advisor Barred By Regulator

By Chase Carlson |

Steven Knuttila, formerly of Capital Financial Services Inc. in Perham, Minnesota, has been barred from the securities industry by FINRA (the financial industry regulator) as of June 19, 2018, over its investigation related to customer disputes alleging unsuitability, breach of fiduciary duty, common law fraud, breach of contract, negligent supervision, and more. According to… Read More »

Facebook Twitter LinkedIn Google Plus

Dennis Farrah: Colorado Financial Advisor Barred For Failure To Comply With FINRA Investigation

By Chase Carlson |

Dennis Farrah, a former General Securities Representative for Taylor Capital Management in Aurora, Colorado, has been barred by the Financial Industry Regulatory Authority (FINRA) for failing to comply with an investigation.  In addition, four customer disputes totaling $793,167 and relating to Farrah’s time with Taylor Capital Management have been filed. Allegations from the client… Read More »

Facebook Twitter LinkedIn Google Plus

Guillermo Valladolid: Morgan Stanley Advisor Barred By Regulator

By Chase Carlson |

Guillermo William Valladolid, a former financial advisor in Morgan Stanley’s La Jolla, California, office, has been barred by the Financial Industry Regulatory Authority (FINRA). This comes after Valladolid was discharged from Morgan Stanley for “allegations involving [Valladolid’s] outside business activities.” FINRA began an investigation into Valladoid shortly after his July 2017 termination from Morgan… Read More »

Facebook Twitter LinkedIn Google Plus

Jeff Glusman: Merrill Lynch Advisor Discharged

By Chase Carlson |

Jeffrey Glusman, a former financial advisor in Merrill Lynch’s Fort Lauderdale, Florida, office, has been discharged by the firm. According to regulatory records obtained from the State of Florida, Glusman was discharged by Merrill Lynch for “Personal conduct inconsistent with Firm standards.”  Merrill Lynch went on to state “This conduct was not investment related… Read More »

Facebook Twitter LinkedIn Google Plus

Alfredo Collazo: JP Morgan Advisor Complaints

By Chase Carlson |

Alfredo Collazo, a JP Morgan financial advisor in the firm’s Coral Gables, Florida branch, has five customer complaints on his regulatory report. All five of the complaints are from September 2015 to July 2016. Four of the complaints are still pending. On July 26, 2016, a customer alleged that Collazo “recommended that he purchase… Read More »

Facebook Twitter LinkedIn Google Plus

Jose Casellas: Merrill Lynch Advisor Complaint

By Chase Carlson |

Jose Casellas, a Merrill Lynch financial advisor registered in the firm’s Miami, Florida and Guaynabo, Puerto Rico offices, currently has a pending $2 million customer complaint on his regulatory record. The customer alleged “misrepresentation and unsuitable investment recommendations from 2010 to 2016.” The complaint, filed on September 18, 2017, is in the form of… Read More »

Facebook Twitter LinkedIn Google Plus

Juan Herrans: Merrill Lynch Advisor Has 3 Complaints

By Chase Carlson |

Juan Herrans (full name Juan Guillermo Herrans Barreras) of Merrill Lynch in Guaynabo, Puerto Rico and Miami, Florida, has three customer complaints on his Brokercheck report maintained by the Financial Industry Regulatory Authority. Two of the complaints settled for a total of $305,000, and a third is still pending. The first complaint, dated April… Read More »

Facebook Twitter LinkedIn Google Plus

Richard Reiss: Merrill Lynch Advisor Has 2 Pending Complaints

By Chase Carlson |

Richard Reiss, a Merrill Lynch financial advisor in Guaynabo, Puerto Rico, and Miami, Florida, has two pending complaints disclosed on his regulatory record. Both complaints are in the form of arbitrations pending with the Financial Industry Regulatory Authority. On June 9, 2016, a customer alleged “unsuitable investment recommendations, excessive trading and misrepresentation and omission… Read More »

Facebook Twitter LinkedIn Google Plus
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Abraham Biderman: Palladium Capital Advisors Managing Director Barred

    Abraham Biderman, former Managing Director of Palladium Capital Advisors of New York, New York, was barred by FINRA as a...

    Read More
  • Joseph Clottey: Georgia Financial Advisor Barred By Regulator

    Joseph Clottey of Lawrenceville, Georgia has been barred by the Financial Industry Regulatory Authority (FINRA) as of June 19th, 2018. This...

    Read More
  • Steven Knutilla: Perham, Minnesota Financial Advisor Barred By Regulator

    Steven Knuttila, formerly of Capital Financial Services Inc. in Perham, Minnesota, has been barred from the securities industry by FINRA...

    Read More
  • Dennis Farrah: Colorado Financial Advisor Barred For Failure To Comply With FINRA Investigation

    Dennis Farrah, a former General Securities Representative for Taylor Capital Management in Aurora, Colorado, has been barred by the Financial...

    Read More
  • Previous
  • Next