Financial Advisor Fraud Archives – Page 558 Of 563

Unauthorized Trading – Robert Silverman, Cetera Financial…

Robert Silverman (CRD#4582993) is not currently registered as a broker with the Financial Regulatory Authority (FINRA). Mr. Silverman was previously registered with Cetera Financial Specialists LLC (June 2004 to July 2019). In July 2019, Mr. Silverman was discharged by Cetera Financial Specialists LLC after he had admitted to a violation of firm policy wherein he had […]

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Brenda Smith (CV Brokerage) ARRESTED For Ponzi Scheme

Brenda Smith (CRD 4438518) was arrested by federal authorities and accused of running a $63 million Ponzi scheme, according to the U.S. Securities and Exchange Commission (SEC). Brenda Smith, founder of Broad Reach Capital, has been charged with one count of money laundering and two counts of wire transfer fraud according to a SEC complaint.

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Carlton & Associates | Mark Lamkin | LPL Financial- Investigation For Investor Fraud

Mark Lamkin (Carlton & Associates) Suspended – Investor Notice

Mark Lamkin was registered LPL Financial LLC (2001-2018) and with Calton & Associates, Inc. (2018 to present) in Louisville, KY. According to the Financial Regulatory Authority (FINRA) BrokerCheck (as of May 2020), Mr. Lamkin has been the subject of 7 disclosures and is currently suspended by FINRA from acting as a financial advisor. In 2000,

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Gene Esplin From Kalos Capital - Lawsuit FINRA

Gene Esplin, Kalos Capital – Lawsuit “FINRA”

Haselkorn & Thibaut is investigating potential sales practice and supervision issues related to a financial advisor, Gene Esplin, who was previously with Kalos Capital, Inc. (2015-2019), and with Triad Advisors, Inc. (2008-2015) in Pocatello, ID. The lawyers of Haselkorn & Thibaut, P.A. at wordpress-1550703-6001974.cloudwaysapps.com have been investigating potential sales practice and supervision issues relating to

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AMC Entertainment Holdings (AMC) Lawsuit “FINRA”

Financial advisors that sold AMC Entertainment Holdings, Inc. (AMC) to their clients are being investigated by Haselkorn & Thibaut, P.A., nationwide investment fraud law firm, for possible sales practice violations by financial advisors who have been recommending AMC and associated real estate investment trust (REIT) investments offered to investors. The current trading in AMC is

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