Financial Advisor Fraud Archives – Page 440 Of 453

LPL Advisor Eric Hollifield Barred by FINRA! – Investor Investigation

Eric Hollifield has been discharged by his brokerage firm, LPL Financial, allegedly for his failure to disclose his outside business activities. This was in August 2021. Hollifield has also been barred by the Financial Industry Regulatory Authority (FINRA). This is on account of the alleged conversion of the funds of an elderly client and emanates […]

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TCFG Wealth Management Advisor Charged By SEC – Investor Investigation

The SEC alleges Laguna Niguel, California-based TCFG Investment Advisors, LLC, TCFG affiliate broker-dealer TCFG Wealth Management, LLC, (TCFG Wealth) and Richard James Roberts – its president, CEO, and member of management – with making materially false and misleading statements and omissions related to ICT advisory client fee markings. An SEC complaint was filed at the

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Edward Jones Advisor Ethan Binnion Suspended

Ethan Binnion is currently not a registered representative of any broker-dealer but was associated with Waddell and Reed. This was after he had been discharged from his previous firm, Edward Jones, on account of “using money from his Business Expense Plan (BEP) … in violation of the terms of the plan,” as per FINRA (Financial

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SCF Securities Advisor Todd Petersen Complaints

With a history dating back to 1984, Todd Petersen is a veteran of the securities industry. However, it is his recent history, with eight customer disputes logged on his BrokerCheck Record in 2020, that is attracting attention, for the wrong reasons. He was discharged by SCF Securities, Inc. with whom he was a registered representative

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Joseph Stone Capital Financial Advisor Eugene McAdams Barred

According to the Financial Industry Regulatory Authority (FINRA), Eugene Arthur McAdams (C.R.D. #: 419021), a broker with Joseph Stone Capital, has reportedly been barred from working in the securities industry. FIRNA claims they barred McAdams after he purportedly refused to provide on-the-record testimony as requested by the regulator. FIRNA is investigating the suitability of the

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