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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 »

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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 »

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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 »

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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 »

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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 »

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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 »

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Jeff Eiler: Wells Fargo Advisor Customer Complaints

By Chase Carlson |

Jeffrey (Jeff) Eiler, a Wells Fargo Advisors financial advisors based out of Fort Lauderdale, Florida, has 11 customer complaints on his regulatory record. Of the 11 complaints, nine are from 2015 to present and seven resulted in settlement payments to customers totaling over $300,000. Two of the last complaints, from May and February 2017,… Read More »

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Matthew Peregoy: Investors Capital Advisor Barred

By Chase Carlson |

Matthew Peregoy, formerly a financial advisor with Investors Capital Corp in Brick, New Jersey, has been barred by the Financial Industry Regulatory Authority (FINRA). FINRA is the regulator that oversees the financial industry. According to FINRA, it began an investigation into the “potential misuse of funds and failure to disclose a civil judgment.” FINRA… Read More »

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Matt Kerby: Edward Jones Advisor Barred By Regulators

By Chase Carlson |

Matt (Matthew) Kerby, formerly a financial advisor with Edward Jones in Paoli, Illinois, has been barred by the Financial Industry Regulatory Authority (FINRA), which is the regulator that oversees financial advisors. On November 9, 2017, it was reported that Edward Jones discharged Kerby for “misuse of client funds for his own benefit.” FINRA alleges… Read More »

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Richard Shotz: Wells Fargo Financial Advisor Suspended

By Chase Carlson |

Richard Shotz: Wells Fargo Financial Advisor Suspended Richard Shotz, a financial advisor with Wells Fargo Advisors in Daytona Beach, Florida, has been suspended by the Financial Industry Regulatory Authority (FINRA) for four months and fined $7,500. FINRA found that Shotz “engaged in an unsuitable pattern of short-term trading of Unit Investment Trusts (UITs) in… Read More »

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Latest Blog Posts
  • Jeff Glusman: Merrill Lynch Advisor Discharged

    Jeffrey Glusman, a former financial advisor in Merrill Lynch's Fort Lauderdale, Florida, office, has been discharged by the firm. According...

    Read More
  • Guillermo Valladolid: Morgan Stanley Advisor Barred By Regulator

    Guillermo William Valladolid, a former financial advisor in Morgan Stanley’s La Jolla, California, office, has been barred by the Financial...

    Read More
  • Alfredo Collazo: JP Morgan Advisor Complaints

    Alfredo Collazo, a JP Morgan financial advisor in the firm’s Coral Gables, Florida branch, has five customer complaints on his...

    Read More
  • Jose Casellas: Merrill Lynch Advisor Complaint

    Jose Casellas, a Merrill Lynch financial advisor registered in the firm’s Miami, Florida and Guaynabo, Puerto Rico offices, currently has...

    Read More
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