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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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Melvin Case: LPL Financial Advisor Suspended

By Chase Carlson |

Melvin Case, a former Jacksonville, Florida, LPL financial advisor, has been suspended by the Financial Industry Regulatory Authority (FINRA) for six months and fined $5,000 for failing to notify regulators of a felony charge and guilty plea. This comes after LPL Financial terminated Case’s employment on or around May 2, 2017, for “allegations of… Read More »

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Financial Advisor to Athletes Sued For Fraud After NFL Agent Defaulted on Loan

By Chase Carlson |

By Chase Carlson | Twitter: @ChaseACarlson Daryl Davis, a financial advisor to professional athletes, and his company, The Parrish Group, LLC, have been sued by Christopher Monroe, former professional overseas basketball player. According to a brochure from The Parrish Group, it is an “investment advisory firm that focuses on creating customized strategies for everyone… Read More »

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Bradley Ross: UBS Advisor Has 7 Customer Complaints

By Chase Carlson |

Bradley (Brad) Ross of UBS Financial Services in Fort Lauderdale, Florida, has seven customer complaints disclosed on his regulatory report. This report can be viewed through the Financial Industry Regulatory Authority’s (FINRA) Brokercheck portal. Of the seven customer complaints, five were from 2014 to present and six resulted in payments to customers. The latest… Read More »

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