A National Securities Arbitration & Investment Fraud Law Firm
In August, we told you about former broker Sean Brady (CRD #4365173) who was recently barred by FINRA and discharged by his employer, First Allied Securities, Inc. (CRD #32444) of St. Louis, MO. Since our last report, eight more customer disputes were recently filed against Brady, between 6/28/2018 and 07/03/2018.…
Charles Lewis Bloom (CRD #4144108) is a former registered broker last employed by Chelsea Financial Services (CRD #47770) of Royal Palm Beach, FL. His previous employers include International Assets Advisory, LLC (CRD #10645) and IAA Financial LLC (CRD #6578) of West Palm Beach, FL, and U.S. Brokerage, Inc. (CRD #39307)…
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. Byer has a total of seven disclosures, all of them customer disputes. The most recent was filed…
Ronald Harris Rothchild (CRD #4491932) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD #7569 of Melville, NY.) His previous employers include Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner…
Cory Bataan (CRD #2755223) has been employed with Emoire Asset Management Company since April 2008. Previous employment includes Empire Asset Management Company from April 2008 to August 2012, Ameritas Investment Corp. from December 2007 to April 2008 and Joseph Stevens & Company, Inc. from October 1996 to July 2001. According…
George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. Previous employment included Wells Fargo Advisors, LLC from January 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. G. Edwards & Sons, Inc. from November 2000 to January 2008.…
John Maloney (CRD #726108) has been employed by Woodbury Financial Services Inc. since June 2016. Maloney was previously employed by Edward Jones from January 1981 to June 2016. According to the FINRA BrokerCheck, there have been several complaints against Mr. Maloney. In 2016 Claimants allege Mr. Maloney’s recommendations to purchase…
John Galinsky (CRD #1513926) has been employed with First Dominion Capital since November 2017. Previous employment includes National Securities Corporation from January 2012 to November 2017, Fintegra LLC from January 2010 to December 2011 and Advanced Equities from November 1999 to October 2009. Galinsky was fined $7,500 and suspended from…
Robert Abramowitz (CRD #4437589) is a currently registered broker and investment advisor employed with National Securities Corporation (CRD #7569) of Melville, NY. Previous employers include Oppenheimer & Co. Inc. (CRD #249) of Jericho, NY, Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, and Wells Fargo Advisors, LLC…
OptionSellers.Com, operated by James Cordier and Michael Gross, promoted themselves as expert options traders able to manage money for retail investors promising they can produce consistent returns with limited risk. From offices in Tampa, Florida, Cordier and Gross touted their book “The Complete Guide to Options Selling” claiming to know…