Robert James D’Andria (also known as Bobby Dandria and Bob Dandria) of Spring Lakes, New Jersey, a stockbroker currently registered with International Assets Advisory LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $45,000.00 in damages founded on accusations of negligent supervision, fraud, unauthorized trading, breach of…
Michael Carleton Boothe (also known as Carleton M. Boothe), a stockbroker formerly registered with International Assets Advisory LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought more than $5,000.00 in damages supported by allegations of Boothe’s breach of contract and negligence relating to direct investments, including limited…
Damian Marlon Bell of Daphne Alabama a stockbroker formerly registered with WFG Investments Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $50,000.00 in damages supported by accusations of breach of contract and breach of fiduciary duty regarding direct investments, including direct participation programs and limited…
Ronald Patrick Cameron of Fayetteville Arkansas a stockbroker and investment adviser representative of Raymond James Financial Services has been isnamed in arbitration claim an Order by Arkansas Securities Commissioner where he was fined $8,000.00 based upon findings that he settled a customer complaint away from Raymond James. Case No. S-19-0033 (Apr. 8, 2019). According to…
Damian Marlon Bell of Daphne Alabama a stockbroker of International Assets Advisory LLC and investment adviser representative of International Assets Investment Management is the subject of a customer initiated investment related arbitration claim where the customer sought between $100,000 and $500,000.00 in damages supported by allegations of the violation of securities laws and a breach…
Brian Robert Roth of Chester New Jersey a stockbroker formerly employed by Brian Robert Roth has been identified in a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages founded on accusations that a fiduciary duty that was owed to the customer had been breached by Roth when he was employed…
Michael Carleton Boothe (also known as Carleton M. Boothe) of Fort Lauderdale Florida a stockbroker formerly registered with International Assets Advisory is the subject of a customer initiated investment related arbitration claim in which the customer requested $200,000.00 in damages based upon allegations of negligence and fraud with regard to the customer’s investments in direct…
Michael Patrick Spolar of Orlando Florida a stockbroker formerly registered with International Assets Advisory LLC has been suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that (1) Spolar effected trades in the investment accounts of International Assets Advisory customers without authorization from either…
Thomas Edmund Connors of Toms River New Jersey a stockbroker formerly employed by International Assets Advisory LLC has been discharged by the firm on November 6, 2017 supported by accusations that Connors spoke with customers of the firm during the time that he was suspended by FINRA for engaging in outside business activities. Specifically, Financial…
Gregory Thormann Pease of Hoboken New Jersey a stockbroker formerly employed by International Assets Advisory LLC is referenced in a customer initiated investment related complaint on April 3, 2019 in which the customer requested unspecified damages supported by accusations that (1) the customer was not provided adequate information from Pease concerning the fees charged on…
Reginald Howell Robinson of Tampa Florida a stockbroker formerly employed by International Assets Advisory LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $300,000.00 in damages founded on allegations that faulty mutual fund switches in the customer’s account were not adequately supervised. Financial Industry Regulatory Authority (FINRA) Arbitration No….
Edward T. McFarlane, of Jenkintown, Pennsylvania, a stockbroker formerly registered with Oppenheimer & Co. Inc., has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected non-traditional exchange traded fund trades which were not suitable for…
James Edward Bashaw, of Houston, Texas, a stockbroker formerly registered with LPL Financial LLC, has been named in a customer initiated investment related arbitration claim on September 2, 2016, in which the customer requested $3,800,000.00 in damages based upon allegations that Bashaw made unsuitable investment recommendations to customers concerning Texas Air Shuttle, LLC. Customers additionally…
James Anthony Nelson, of Evans City, Pennsylvania, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected unauthorized transactions in customers’ accounts. Letter of Acceptance, Waiver and Consent, No. 2016050825301 (May…
David Todd II, of Kent, Ohio, a stockbroker formerly registered with Stifel, Nicolaus & Company, Inc., has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Todd, inter alia, made misleading statements to customers in the course…
Brandon Christopher Oliver, of Hunt Valley, Maryland, a stockbroker formerly registered with Morgan Stanley Smith Barney, has been named in a customer initiated investment related arbitration claim, which settled on June 8, 2016, for $25,000.00 in damages based upon allegations that Oliver, inter alia, made misrepresentations to the customer concerning the surrender of the customer’s…
James Anthony Nelson, of Evans City, Pennsylvania, a stockbroker formerly registered with LPL Financial, LLC, has been named in a customer initiated investment related written complaint on June 6, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Nelson, from 2014 to 2016, made misrepresentations to the customer concerning…
Norman Kirby Farra, Junior, of Tampa, Florida, a stockbroker formerly registered with International Assets Advisory, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations of his involvement in undisclosed private…
Lance Shaw of Havcrford, Pennsylvania, formerly registered with LPL Financial LLC, was recently barred from the Financial Industry Regulatory Authority (FINRA) after failing to respond to the FINRA Staff for “information.” FINRA suspended Shaw in May 2016, but decided not to bar him until August 2016. Why FINRA wanted to talk to Shaw is a secret…