Richard Glenn Shaw (also known as Rick Shaw), of Scottsdale, Arizona, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $25,000.00 in damages based upon allegations that Shaw made the unsuitable investment recommendation of certain…
Michael Christopher McFeeley, of York, Pennsylvania, a stockbroker registered with Lincoln Financial Advisors Corporation, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $82,992.32 in damages based upon allegations that McFeeley made unsuitable investment recommendations in oil and gas investments during the time…
Robert Alan Eisenberg of Vienna, Virginia, a stockbroker registered with Lincoln Financial Advisors Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $27,663.88 in damages based on allegations that Eisenberg made unsuitable investment recommendations in oil and gas investments during the time that Eisenberg was associated…
Lawrence Charles Barrett (also known as Lawrence Barrett DiBartolomeo), of Orange Village, Ohio, a stockbroker registered with Lincoln Financial Advisors Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $30,000.00 in damages based upon allegations that Barrett made unsuitable investment recommendations of oil and gas…
Maurice Lawrence Naylon III of Buffalo, New York, a stockbroker registered with Lincoln Financial Advisors Corporation, has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Naylon engaged in an undisclosed outside business activity. Letter of Acceptance, Waiver, and Consent No. 2021071098801…
Brian Andrew Horn, of Hunt Valley, Maryland, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Horn made unsuitable recommendations of oil and gas investments when Horn was associated with Lincoln Financial Advisors…
John Kennedy Ulwick of Fort Wayne, IN, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Ulwick made unsuitable recommendations of oil and gas investments when Ulwick was associated with Lincoln Financial Advisors…
Jeffrey John Furniss of Annapolis, MD, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Furniss made unsuitable recommendations of oil and gas investments when Furniss was associated with Lincoln Financial Advisors Corporation. Financial…
Brian Charles Kennedy (also known as Brian Charles Fitton), of Camp Hill, Pennsylvania, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Kennedy made unsuitable recommendations of oil and gas investments when Kennedy…
Peter David Maller of Hunt Valley, Maryland, a stockbroker registered with Lincoln Financial Advisors was is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that settled for $115,000.00 in damages based upon allegations that Maller made the unsuitable recommendation and sale of variable annuities and real estate…
Nathan Marek Plumb of Madison, Wisconsin, a stockbroker registered with Lincoln Financial Advisors Corporation has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for four months based upon allegations that Plumb engaged in an undisclosed outside business activity. Case No. 2020068210301 (Sept. 30, 2022). According…
Walter James Reyna of McAllen, Texas, a stockbroker registered with Lincoln Financial Securities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $5,000.00 in damages based upon allegations that Reyna made unsuitable recommendations relating to the sale of oil and gas…
David Lawrence Poulnot, of Daniel Island, South Carolina, a stockbroker currently registered with Lincoln Financial Securities Corporation, is referenced in a customer initiated investment related written complaint on March 2, 2020, where the customer sought compensatory damages founded on accusations of Poulnot failing to disclose the illiquidity of a real estate investment trust purchased by…
Charles Matthew Wernig III (also known as Chip Wernig) a stockbroker formerly registered with Kestra Investment Services LLC has been barred on August 5, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Wernig neglected to provide a response to FINRA after a request for his…
Peter David Maller of Hunt Valley Maryland a stockbroker registered with Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought unspecified damages based upon accusations that the customer fell victim to deceptive and unsuitable practices by Maller as the customer’s life savings had been placed…
Imran N. Razvi (also known as Raz Razvi) of Frederick Maryland a stockbroker formerly registered with Lincoln Financial Securities Corporation has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Razvi engaged in outside business activities which involved the…
Jimmy Oswald Moscoso of Boca Raton Florida a stockbroker employed by Lincoln Financial Advisors Corporation has been referenced in a customer initiated investment related complaint on March 8, 2019 where the customer sought damages estimated to exceed $5,000.00 founded on accusations that false or misleading statements had been made in regard to the terms and…
James Walter Barrett of Red Bank New Jersey a broker currently registered with Lincoln Financial Advisors Corporation is referenced in a customer initiated investment related arbitration claim which was resolved for $325,000.00 in damages founded on accusations that while Barrett was associated with the firm: (1) the costs and fees of investments purchased by the…
Imran Nazir Razvi (also known as Raz Razvi) of Frederick Maryland a stockbroker formerly employed by Lincoln Financial Securities Corporation is referenced in a customer initiated investment related arbitration claim where the customer requested damages estimated to exceed $5,000.00 based upon accusations that Razvi or another broker made unsuitable investment recommendations to the customer concerning…
Peter Thomas Waldron of San Francisco California a stockbroker currently employed by Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related written complaint on August 15, 2018 where the customer requested damages estimated to exceed $5,000.00 based upon allegations that Waldron failed to provide the customer with correct information regarding financial…
James M. Honaker of Amherst New York a stockbroker formerly registered with Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related arbitration claim in which the customer was awarded $11,316.00 in compensatory damages based upon Honaker having been found liable on the customer’s claims that (1) Honaker executed transactions in the…
Delores Jean Yezbak of Cleveland Ohio a stockbroker formerly registered with Lincoln Investment is referenced in a customer initiated investment related written complaint on June 15, 2017 in which the customer sought $70,000.00 in damages supported by allegations that (1) the customer’s account documentation contained false statements in regard to the customer’s income and net…
Chadwick Kingsley Watson of Annapolis Maryland a stockbroker currently registered with Lincoln Financial Advisors Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $500,000.00 in damages supported by allegations that (1) unsuitable investment transactions had been effected in the customer’s account and (2) there were inadequate disclosures made…
Donald Eugene Bentley of Mt. Sterling Kentucky a former Lincoln Financial Securities Corporation registered representative is the subject of a Kentucky Department of Financial Institutions investigation into accusations that Bentley made misstatements to the regulator in the course of being audited. Bentley had previously been fined $5,000.00 by The Kentucky Department of Financial Institutions according…
Steven Edward Sousa of Tustin California a stockbroker formerly registered with Lincoln Financial Securities Corporation is the subject of a customer initiated investment related written complaint on May 31, 2016 that was resolved for $10,000.00 in damages founded on accusations that Sousa made misrepresentations to the customers concerning Sousa’s execution of withdrawals from the customer’s…
Steven Harvey Serot of Saint Louis Missouri a former Lincoln Financial Advisors Corporation registered representative is referenced in a customer initiated investment related written complaint on March 30, 2017 where the customer sought more than $5,000.00 in damages supported by allegations that the customer’s funds had been misappropriated from the customer’s variable annuity. Financial Industry…
Charles A. Black of Fort Wayne Indiana a former Lincoln Financial Advisors Corporation registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to reply to FINRA’s request for information. Case No. 2017053433601 (July 28, 2017). According to FINRA Public Disclosure,…
Philip Gott Moshier of Solon Ohio a stockbroker currently registered with Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $186,000.00 in damages based upon accusations that Moshier made recommendations for the customer to invest in real estate investment trusts that were not suitable…
Wayne Earl Cooksey of Jacksonville Florida a stockbroker formerly employed by Lincoln Financial Advisors Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to honor FINRA’s request for his information. Case No. 2017054598201 (Nov. 13, 2017). FINRA Public Disclosure…
Jimmy Moscoso of Boca Raton Florida is a stockbroker formerly employed with Lincoln Financial Advisors Corporation who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted the funds of a customer. Letter of Acceptance Waiver and Consent No. 2018057246701 (Feb….
Jason Michael Belajack, of Irvine, California, a stockbroker formerly registered with Lincoln Financial Advisors Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he sent bogus letters to a customer to conceal the fact that he misrepresented the features of the customer’s…
Kevin Ray Bonner, of Burien, Washington, a stockbroker formerly registered with Lincoln Financial Securities Corporation, has been fined $2,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member by consenting to findings that included, inter alia, Bonner’s failure to disclose a customer loan arrangement which he later defaulted on….
Lincoln Financial Advisors, located in Fort Wayne, Indiana, was censured and fined $90,000 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm failed to adequately supervise the activities of a registered representative who engaged in unsuitable penny stock trading. Letter of Acceptance, Waiver and Consent, No. 2011029739902 (Dec. 8, 2015). According…