Matt Ward (also known as Matt Adeywardena and Abeywardena Ward), of Santa Monica, California, a stockbroker registered with Alliance Global Partners, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ward engaged in unauthorized trading during the time that he was associated with Alliance…
Michael Francis Shillin of Altoona, Wisconsin, a stockbroker formerly registered with AGP (Alliance Global Partners), has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment advisor and barred from associating with those institutions, according to an SEC Order containing findings of Shillin misrepresenting information to investors and misleading them…
Michael Francis Shillin, of Altoona, Wisconsin, a stockbroker formerly registered with Alliance Global Partners (AGP), has been charged by Securities and Exchange Commission (SEC) with defrauding investors about stock and insurance transactions when he was registered with Alliance Global Partners, Raymond James Financial Services Inc., Raymond James Financial Services Advisors Inc., Shillin Wealth Management LLC,…
Peter David Schiff of Newport Beach California a stockbroker currently registered with AGP Alliance Global Partners is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $45,000.00 in damages founded upon accusations of breach of contract and breach of fiduciary duty as it pertained to private placements sold…