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Tag: Suitability

Financial Advisor Juan Rascon Subject of Million Dollar Customer Dispute

Juan Manuel Rascon (CRD#:5631144) is a registered broker and investment adviser at Cetera Investment Services, LLC., in Houston, TX. Broker’s Background He entered the securities industry in 2009 and previously worked with Edward Jones; Chase Investment Services Corp.; J.P Morgan Securities LLC; BBVA Compass Investment Solutions, Inc.; and BBVA Securities, Inc. Current and Past Allegations […]

Former Financial Advisor Glennon Cole has 14 FINRA Disclosures

Glennon James Cole (CRD#: 1999588) is a previously registered broker. Broker’s Background He entered the securities industry in 1989. He previously worked with Edward Jones; UBS PaineWebber, Inc.; Summit Brokerage Services, Inc.; Huntleigh Securities Corporation; First Brokerage America, LLC; and most recently Moloney Securities Co., Inc. Current and Past Allegations of Conduct Leading to Investment […]

Financial Advisor Elba Nogueras Suspended by FINRA

Elba Nogueras (CRD#:4459340) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2002 and previously worked for First Southern, LLC; Kovack Securities Inc.; UBS Financial Services, Inc; UBS Financial Services Incorporated of Puerto Rico; and R-G Investments Corporation.   Allegations of Misconduct According to publicly available records […]

FINRA Suspends, Fines Former Broker Edward Short For Violating Regulation Best Interest

Edward Short (CRD#: 2462752) is a previously registered Broker. Broker’s Background He entered the securities industry in 1994 and previously worked for Laidlaw & Company (UK) Ltd.; EKN Financial Services, Inc.; Ehrenkrantz King Nussbaum; Weatherly Securities Corporation; Tasin & Company, Inc.; H G I; Americorp Securities, Inc.; and Royce Investment Group, Inc. Current And Past […]

Financial Advisor Jimmy Yang Driggers Disclosed Four Customer Complaints

Jimmy Yang Driggers (CRD#: 1359593) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley & Co.; UBS Financial Services, Inc.; Prudential Securities, Inc.; Everen Securities, Inc.; Cozad Investment Services, Inc.; Escalator Securities, Inc.; Investacorp, Inc.; and J.W. Grant & […]

Financial Advisor Andrew Miles (Green Vista Capital, LLC) Customer Complaints

Andrew Miles (CRD#: 5986774) is a previously registered Broker and Investment Advisor at Green Vista Capital, LLC in Winter Park, FL. He entered the securities industry in 2011 and previously worked for The Strategic Financial Alliance, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2021, a customer […]

Financial Advisor Ricardo Armijo (Raymond James Financial Services, Inc.) Customer Complaints

Ricardo Armijo (CRD#: 2694904) is a dually registered Investment Advisor and Broker at Raymond James & Associates, Inc., in Birmingham, MI. He entered the securities industry in 1996 and previously worked for UBS Financial Services, Inc., and Citigroup Global Markets, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Financial Advisor Barry Lemay (Concorde Ivestment Services, LLC) Customer Complaints

Barry Lemay (CRD#: 306332) is a dually registered Investment Advisor and Broker at Concorde Investment Services, LLC and Concorde Asset Management, LLC in San Jose, CA. He entered the securities industry in 1973 and previously worked for Pacific West Financial Consultants, Inc.; Pacific West Securities, Inc.; VSR Advisory Services; The Masters, Inc.; VSR Financial Services, […]

Financial Advisor Matthew Gaer (Aegis Capital Corp.) Customer Complaints

Matthew Gaer (CRD # 2301493) is a Financial Advisor at Aegis Capital Corp in Boca Raton, FL. Matthew Gaer has been in the securities industry since 1992 and previously worked at Oppenheimer and Co. Inc. and Ameriprise Financial Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since Septmber […]

Financial Advisor Steven Jennings (National Securities Corp.) Customer Complaints

Steven Jennings (CRD # 2472408) is a Financial Advisor at National Securities Corp. in Jersey City, NJ. Steven Jennings has been in the securities industry since 1994 and previously worked at Gunnallen Financial, Inc. and Raymond James Financial Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February […]