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Nicolas Barrios – UBS Advisor Barred by Regulators & Fired by UBS

By Chase Carlson |

Nicolas Barrios, former Winter Haven, Florida UBS branch manager and financial advisor has been barred by the Financial Industry Regulatory Authority (FINRA) on June 11, 2019. This comes just months after he was terminated by UBS for stating during a firm review that he: (a) he arranged for a client to invest away from… Read More »

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Gary Pevey: Financial Advisor Suspended For 12 Months Relating to Woodbridge Notes

By Chase Carlson |

Today the Financial Industry Regulatory Authority released a Letter of Acceptance, Waiver and Consent, suspending Sacramento-based financial advisor Gary Pevey for 12 months and fining him $10,000. According to the public document, Pevey sold $1.1 million of promissory notes of the Woodbridge Group of Companies LLC to 15 investors. Five of the investors were… Read More »

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Paul Wishingrad: Beverly Hills UBS Financial Advisor Suspended

By Chase Carlson |

Paul Wishingrad, a Beverly Hills-based financial advisor for UBS Financial Services, has been suspended for 15 days and fined $5,000 by the Financial Industry Regulatory Authority (FINRA), which is the regulatory body that oversees financial advisors and brokerage firms. This comes approximately 19 months after a $39,500 settlement was paid to a former client… Read More »

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Joe Varghese: Prudential Financial Advisor Barred By Regulators

By Chase Carlson |

Joe Varghese, a former Prudential financial advisor in Howard Beach, New York, has been barred for life by the Financial Industry Regulatory Authority – the agency that oversees brokerage firms and their employees. This comes approximately nine months after he resigned from his employment with Prudential (Pruco Securities). According to public records, Varghese resigned… Read More »

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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 »

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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 »

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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 »

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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 »

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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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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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Latest Blog Posts
  • Nicolas Barrios – UBS Advisor Barred by Regulators & Fired by UBS

    Nicolas Barrios, former Winter Haven, Florida UBS branch manager and financial advisor has been barred by the Financial Industry Regulatory...

    Read More
  • Gary Pevey: Financial Advisor Suspended For 12 Months Relating to Woodbridge Notes

    Today the Financial Industry Regulatory Authority released a Letter of Acceptance, Waiver and Consent, suspending Sacramento-based financial advisor Gary Pevey...

    Read More
  • Paul Wishingrad: Beverly Hills UBS Financial Advisor Suspended

    Paul Wishingrad, a Beverly Hills-based financial advisor for UBS Financial Services, has been suspended for 15 days and fined $5,000...

    Read More
  • Joe Varghese: Prudential Financial Advisor Barred By Regulators

    Joe Varghese, a former Prudential financial advisor in Howard Beach, New York, has been barred for life by the Financial...

    Read More
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