FINRA has suspended financial advisor Jay Clint Tomlinson from the securities industry for three months and fined him $7,500. Mr. Tomlinson’s sanctions arise from his improper use of discretion without written authorization when placing 379 trades in three customers’ accounts. FINRA has also censured Tomlinson’s employer, New York financial services…
FINRA has suspended financial advisor Drew R. Mantel from the securities industry for three months and fined him $5,000. Drew Mantel was registered with Ameriprise Financial Services, LLC in Miamisburg, Ohio, from March 2018 until November 2018. At that time, Ameriprise terminated his employment. Previously, he was registered with Edward…
UBS broker Dario Suarez has twenty-three pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts…
Former UBS broker Robert Lapetina has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…
Former UBS broker Miguel Pascual has five pending customer complaints on his CRD, including two customer complaints filed in 2020, totaling over $3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…
UBS broker Angel Canabal has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts…
UBS broker Jose David Mendez has fifteen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $4 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…
FINRA has suspended financial advisor Timothy James Pandekakes (CRD No. 4890164) from the securities industry for three months and ordered him to pay partial restitution of $20,000. FINRA alleged that between January 2016 and April 2018, while employed by Cadaret, Grant & Co., Inc. in Bronxville, New York, Mr. Pandekakes…
Mr. Castillo has ten pending customer complaints on his CRD, including two customer complaints filed in 2020, totaling $17.6 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts in these securities.…
Mr. Crescioni has five pending customer complaints on his CRD, including four customer complaints filed between January and October 2020, totaling $3.6 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts…