Exchange-Traded Funds Archives - New York Investment Fraud Lawyer

FINRA Suspends Jose Candelaria Padilla for Alleged Reg-BI Violations

Apr 3, 2023 Exchange-Traded Funds

Jose Candelaria Padilla (CRD #: 4847560), a broker registered with Nationwide Planning Associates, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

Matthew Lamb Allegedly Recommended Unsuitable ETFs

Feb 7, 2023 Exchange-Traded Funds

Matthew Lamb (CRD #: 6040125), a broker registered with LPL Financial, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on January 31, 2023. […]

Michael Stalcup Allegedly Recommended Unsuitable Non-Traditional ETFs

Jun 7, 2022 Exchange-Traded Funds

Michael Stalcup (CRD #: 4024498), a formerly registered broker with Veritas Independent Partners, is facing a regulatory action from the Arkansas Securities Department, according to […]