Articles Posted in Unsuitable Investment Advice

Wayne Miller (Wayne Ivan Miller CRD#: 4813645) is a registered broker and previously registered investment advisor currently employed with Aeon Capital Inc. (CRD#: 164004) of Scottsdale, AZ. His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc.…

Keith Simmons (Keith Frederick Simmons CRD: #730619) is a broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miami, FL. He has been with Merrill Lynch since 1981, and is registered in 30 states. Simmons is the subject of a customer dispute filed on 5/29/2020…

Christ Baltas (Christ Elias Baltas CRD: 2570499) is a former registered broker whose last known employer was Worden Capital Management LLC (CRD#:148366) of Melville, NY. His previous employers include Wilmington Capital Securities, LLC (CRD#:133839) also of Melville, Kovack Securities Inc. (CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc.…

On behalf of investors, Silver Law Group is investigating junk bonds offered by now-bankrupt Hornbeck Offshore Services. Hornbeck Offshore bonds were sold to clients when they held a D rating by Standard and Poor’s, the lowest rating possible. About Hornbeck Offshore Services Hornbeck Offshore Services calls itself a “leading provider…

William Friedman (William Sidney Friedman CRD#: 2475502) is a former registered broker and investment advisor whose last known employer was Pinnacle Investments, LLC (CRD#:142910) of Boca Raton, FL. His previous employers include Woodstock Financial Group, Inc. (CRD#:38095), Newbridge Securities Corporation (CRD#:104065), and Brookstreet Securities Corporation (CRD#:14667), all of Boca Raton.…

Daniel Raupp (Daniel Phillip Raupp) is a broker currently registered with Concorde Investment Services in their Port Jefferson, New York branch office. Before joining Concorde, Raupp was previously registered with J.P. Turner & Company, LLC, Gunallen Financial, Inc, and Harrison Securities, Inc., which FINRA expelled in 2004. Daniel Raupp Disclosures…

Thomas Marino (Thomas John Marino CRD#: 4438533) is a former registered broker and investment advisor whose most recent employer was R.M. Stark & Co., Inc. (CRD#:7612) of Lake Worth Beach, FL. Previous employers include J.W. Cole Financial, Inc. (CRD#:124583) of Sarasota, FL, Newbridge Securities Corporation (CRD#:104065) of Boca Raton, FL,…

Bradley Renberg (Bradley Leo Renberg CRD: #2155253, aka “Bradley Leo Rewberg”) is a currently registered broker and investment advisor currently employed with Ameriprise Financial Services (CRD#: 6363) of West Des Moines, IA. He was previously employed by Ameriprise Advisor Services, Inc. (CRD#:5979), also of West Des Moines, and by Hibbard…

We previously reported on broker Kevin Richard Wilson (CRD #326701), who had two customer disputes filed in 2018. He is currently employed with Worden Capital Management, LLC (CRD#: 148366) of New York, NY. He has been in the industry since 1999. Since our previous report, there have been six more disputes…

Joshua Stivers (Joshua Daniel Stivers CRD:#5708565) is a currently registered broker and investment advisor currently employed with Kalos Capital, Inc. (CRD#: 44337) of Austin, TX. His previous employers include G.F. Investment Services, LLC (CRD#:132939) and Global Financial Private Capital, LLC (CRD#:132070), both of Austin, TX, and USA Wealth Management LLC…