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Tag: Misappropriation

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LPL Financial Adviser Robert J. Earls, Jr. has Three Customer Complaints, Alleging Theft

Robert Earls, Jr. (CRD#: 1369915) is a previously registered Financial Advisor with LPL Financial, LLC in Roanoke, Virginia.  Broker’s Background Robert Earls, Jr.  entered the securities industry in 1985 and has worked for a number of brokerage firms, including Royal Alliance Associates, Inc., Uvest Investment Services, and most recently, LPL Financial, LLC. Current And Past […]

Financial Advisor Ian Geeves Accused of Misappropriation

Ian A Geeves (CRD#: 5328479) is a registered broker and investment advisor at Vanderbilt Securities, LLC in Carlsbad, CA. Broker’s Background He entered the securities industry in 2009 and previously worked for LPL Financial LLC; U.S. Bancorp Investments, Inc.; Chase Investment Services Corp.; and Bancwest Investment Services, Inc. Current Allegations of Conduct Leading to Investment […]

The SEC and FINRA Bar Previously Registered Broker Ronald Molo for Allegedly Stealing from Investors

Ronald Terrence Molo (CRD#: 4371241) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2001, and has previously worked for Edward Jones in Joliet, IL. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2023, the Securities and Exchange […]

Investment Advisor Bradley Holts Subject of SEC Proceedings Alleging Misappropriation

Bradley Holts (CRD#: 5819398) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2010, and has previously worked for World Capital Brokerage, Inc.; Supreme Alliance, LLC; Capital One Investing, LLC; and Edward Jones. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records […]

SEC Initiates Civil Complaint Against Investment Advisor Julie Anne Darrah

Julie Anne Darrah (CRD#: 2102014) was a previously registered broker and investment advisor. Broker’s Background She entered the securities industry in 2001, and has previously worked for Wealth Enhancement Advisory Services, LLC; Vivid Financial Management, Inc.; Mutual Securities, Inc.; and National Planning Corporation. Allegations of Misconduct According to publicly available records released by the Financial […]

Financial Adviser Ryan Reaume Riley Barred by SEC After Allegations of Fraud

Ryan Reaume Riley (CRD#: 2684692) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1996 and previously worked for Viewpoint Securities, LLC; Gunnallen Financial, Inc.; Sentra Securities Corp.; UBS Painewebber, Inc.; and Smith Barney, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According […]

Financial Advisor Doug McKelvey Barred by FINRA

Doug McKelvey (CRD#: 4502849) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Financial Advisor David S. Wells (Fifth Third Securities) Customer Complaints

David S. Wells (CRD#: 6774493) is a previously registered Broker and Investment Advisor. He entered the securities industry in 2017 and previously worked for Fifth Third Securities, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2021, FINRA sanctioned David […]

Financial Advisor Elizabeth Sollars (Allstate Financial Services, LLC.) Customer Complaints

Elizabeth Sollars (CRD#: 6606776) is a previously registered Broker. She entered the securities industry in 2017 and previously worked for Allstate Financial Services, LLC in Terre Haute, IN. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, a regulatory action was initiated by FINRA against Elizabeth Sollars, with […]

How to Reduce Your Chances of Broker Theft Out of Your Customer Accounts

Reported instances of broker theft out of customer accounts are on the rise, and the move to all-online access to brokerage accounts and transactions may be making it easier for unethical financial advisors to act. So what can you do to reduce the chances that your financial advisor has access to your outside bank accounts, […]