Broker / Advisor Investigations

Anthony Dorsey of PFS Investments Inc.  Reviews

Anthony Dorsey (CRD #3196293) , has been a registered broker since 1999, primarily with PFS Investments Inc. and Primerica Advisors in Rancocas, NJ. Despite a long tenure in the industry, his career has not been without issues. Dorsey is registered in 8 U.S. states and has passed two general industry/product exams and two state securities law exams, in addition to one principal/supervisory exam. The extent of his registration might initially imply a broad and versatile service capability, yet this is somewhat marred by a lack of further professional qualifications and a noticeable presence in only a handful of states. This limited geographical footprint and professional growth might raise questions about his ambition or capability in expanding his client base or expertise.

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Daniel Nielsen of LPL Financial LLC

Daniel Nielsen (CRD #5481403) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in Winterset, Iowa, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Daniel Nielsen was associated with Cambridge Investment Research, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Lincoln Mason formerly with Edward Jones

Lincoln Mason (CRD #7057393) who was formerly registered with Edward Jones and located in Arnolds Park, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Both Edward Jones and Lincoln Mason have had their share of problems with the regulators. In Lincoln, Mason’s case, he was recently suspended and fined for engaging in outside business activities without providing prior written notice to and receiving his firm’s approval of that activity. He was suspended for 90 days, and fined $5,000 for that misconduct. This is in addition to the suspension he suffered as a result of the Iowa Insurance Commissioners actions.

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Curtis Mason of GWN Securities Inc

Curtis Mason (CRD #3246419) who is currently registered as a broker and investment adviser with GWN Securities Inc. and located in West Linn, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Prior to GWN Securities Inc., Curtis Mason was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Martinez formerly with Pruco Securities LLC

Justin Martinez (CRD #6636905) who was formerly registered with Pruco Securities LLC and located in Pinole, California, is a subject of one of our many securities industry sales practice abuse investigations. He recently resigned from the firm when he was under review for submitting life insurance policy applications that indicated fraud. The representative allegedly submitted applications for the same insureds, including multiple applications for himself and his family members under the same email address, all of which either lapsed or were withdrawn. Representative did not identify himself as the insured on 2 of the applications, thereby receiving express commissions to which she was not entitled.

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Robert Larsen of Creativeone Securities, LLC

Robert Larsen (CRD #1913268) who is currently registered as a broker with Creativeone Securities, LLC and located in Phoenix, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Creativeone Securities, LLC, Robert Larsen was associated with Ameriprise Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Jack Yvars of Osaic Wealth, Inc

Jack Yvars (CRD #6377111) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Concord, New Hampshire, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Jack Yvars was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Edgar Kleydman of MML Investors Services, LLC

Edgar Kleydman (CRD #2727571) who was formerly registered with MML Investors Services, LLC and located in Brookly, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Edgar Kleydman was associated with AXA Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edgar Kleydman has had his own regulatory problems. In 2021, he refused to cooperate with the FINRA investigation and appear for non-the-record testimony. Their investigating whether he engaged in private securities transactions without providing written notice to his member firm. As a result, he was permanently barred from any further association with any FINRA member firm in any capacity.

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Craig Gould of Cabot Lodge Securities LLC

Craig Gould (CRD #2367293) who is currently registered as a broker with Cabot Lodge Securities LLC and located in Schaumburg Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabot Lodge Securities LLC, Craig Gould was associated with World Equity Group, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Craig Gould has been the subject of 2 FINRA enforcement actions which he settled without admitting or denying the findings. In one case, he consented to the sanctions and to the entry of findings that he failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable FINRA rules, and failed to reasonably enforces member firms written supervisory procedures that require the review of organization and offering expenses and underwriter’s compensation. As a result, he was suspended in 1 FINRA proceeding for 90 days, and fined $20,000 and the other FINRA enforcement action. He was suspended for 10 days, and fined $5,000.

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Paul Getty of Lightpath Capital, Inc

Paul Getty (CRD #6470002) who is currently registered as a broker with Lightpath Capital, Inc. and located in San Jose, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lightpath Capital, Inc., Paul Getty was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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