Raymond James’ financial advisor Gregory Collier has had a continuous association with Raymond James since August 2005. He also reveals a business association with Mount Dora, FL based on Collier Financial Solutions. Disclosures on his BrokerCheck record are: Collier was accused of managing a portfolio poorly and for initiating trades that were unsuitable, with the customer […]
New York-based financial advisor John Cangialosi has consented to the sanctions placed on him by the Financial Industry Regulatory Authority (FINRA) but has neither admitted nor denied them. The allegations against him were of unsuitable trading in three customer accounts, for which he has been suspended for 9 months by FINRA. This was in September
Financial Advisor John Cangialosi Barred, To Pay $271K Restitution Read More »
The number of investors swindled in the alleged Ponzi scheme masterminded by John J. Woods is understood to exceed 400. He was charged by federal regulators in August for defrauding investors by “running a massive Ponzi scheme for over a decade.” Along with Southport Investment Capital, an investment firm based in Chattanooga, Woods has been
Southport Capital “Horizon Private Equity” Ponzi Scheme Update Read More »
The Yield Enhancement Strategy (YES) of UBS Financial has invited one more Financial Industry Regulatory Authority (FINRA) arbitration claim for UBS Financial. This one has been filed by clients of Frank Frederick Baldwin and Brian Jay Donaldson. According to their BrokerCheck report, this opens the account of customer disputes for Baldwin while for Donaldson, though
More Claims Filed Against UBS Yield Enhancement Strategy (YES) Read More »
Four investor complaints have been filed against Raul Benitez (CRD#: 4457185, Aventura, Florida), as revealed by the Financial Industry Regulatory Authority (FINRA) through his BrokerCheck record. Suitability and misrepresentation are the issues highlighted in one of these complaints. Benitez, on his part, has denied all allegations of violation of sales practices. Securities industry record of