FINRA permanently barred former Wells Fargo broker Marcus Delgado after finding excessive trading in 18 retirement accounts that generated $487,000 in commissions and caused $3.8 million in losses.
San Francisco financial advisor Sam Te Su, CRD# 4232029, is the subject of a pending $50 million customer complaint alleging unsuitable concentration in a speculative stock.
San Francisco Advisor Sam Te Su Faces $50 Million Unsuitable Investment Complaint Read More »
Investment adviser Aram Tony Urfalyan, CRD 6470898, has a disclosure from J.P. Morgan Chase involving confidential client information. Investors should understand what the record means.
Aram Tony Urfalyan (CRD 6470898): disclosure review for investors Read More »
Longtime Merrill Lynch broker Daniel Gustavo Diaz was barred by FINRA in 2026 after refusing on-the-record testimony tied to commission discount and excessive commission allegations.
Daniel Gustavo Diaz (CRD 1715827) barred by FINRA after Merrill termination Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, is investigating claims involving The Strategic Financial Alliance, Inc., a Financial Industry Regulatory Authority, or FINRA, registered broker-dealer that has reportedly paid more than $500,000 in settlements and arbitration awards related to unsuitable investment recommendations. The Atlanta-based firm, CRD# 126514, holds 53 U.S. state and territory
Strategic Financial Alliance Inc. Pays $500K+ Over Unsuitable Investment Claims Read More »