Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits

Morgan Stanley discharged advisor Candido Viyella in 2020 “after allegations were made accusing him of participation in an outside investment involving clients for which the registered representative had a beneficial ownership interest.” He had been associated with Morgan Stanley for 11 years prior to the discharge. Record of Candido Viyella A peek into his broker …

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source https://financialadvisorcomplaints.com/morgan-stanley-advisor-viyella-barred-after-selling-away-allegations-and-lawsuits/

Geneos Wealth Management: Joseph Tennison Barred By SEC For Selling Phony Investments in Humanitarian Project

Former Geneos Wealth Management financial advisor Bradley Joseph Tennison has been barred by the Securities and Exchange Commission (SEC). He has been sentenced to serving supervised probation for 3 years. He also has to pay almost $8.2 million in restitution for his role in the fraud revolving around selling unregistered securities in a supposedly religious …

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source https://financialadvisorcomplaints.com/geneos-wealth-management-joseph-tennison-barred-by-sec-for-selling-phony-investments-in-humanitarian-project/

Daryl Banks Found Guilty In $25 Million Nationwide Investment Fraud

An investment scheme by Daryl Banks of Port St. Lucie, Florida allegedly defrauded investors out of more than $25 Million. Banks had been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in 2010 when he was a registered securities broker. Unfazed by the reverse, Banks, now 51, launched Dominion Private Client …

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source https://financialadvisorcomplaints.com/daryl-banks-found-guilty-in-25-million-nationwide-investment-fraud-investment-advisor-and-attorney-await-sentencing/

Bradley Tennison: Geneos Wealth Management Advisor Barred For Fraud

Former Geneos Wealth Management broker Bradley Joseph Tennison has been barred by the Securities and Exchange Commission (SEC). He has been sentenced to serving supervised probation for 3 years. He also has to pay almost $8.2 million in restitution for his role in the fraud revolving around selling unregistered securities in a supposedly religious and …

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source https://financialadvisorcomplaints.com/geneos-wealth-management-advisor-barred-for-fraud/

Allstate Financial Services Complaints: Financial Advisor Jason Poff

An investigation was recently launched by FINRA into suspected outside business activities of Jason H. Poff, a financial advisor currently registered with Allstate Financial Services. The investigation, launched in January 2021, pertained to the period Poff was employed by LPL Financial. The grounds for the investigation were the consulting contracts between his brokerage firm and …

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source https://financialadvisorcomplaints.com/allstate-financial-services-complaints-financial-advisor-jason-poff/

Ex SunTrust (Truist) Broker Eddy Blizzard Charged With Embezzlement of Over $1 Million

When AB (name changed), a resident of Maryland, took retirement in 2003 pursuant to a buyout, he would hardly have bargained for the traumatic series of events over the next few years that would lead him to lose most of the retirement funds he received at that time. AB turned 75 in January 2020. When …

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source https://financialadvisorcomplaints.com/ex-suntrust-truist-broker-eddy-blizzard-charged-with-embezzlement-of-over-1-million/

Scott Nicholson Charge With Investment Fraud

Second-degree theft, second-degree misconduct by an official of a corporate, and a fourth-degree falsification and/ or tampering of records; these are the charges faced by 53-year-old North Haledon-based investment advisor Scott Nicholson. Nicholson is staring at a possible 20 years in jail and $300,000 in fines, as explained by the State Attorney General Gurbir Grewal. …

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source https://financialadvisorcomplaints.com/scott-nicholson-charge-with-investment-fraud/