Author Archives: Chase Carlson
Morgan Stanley Financial Advisor Angel Aquino-Velez Has 11 Customer Complaints
Carlson & Associates currently represents a family that lost a substantial amount of money in Puerto Rican Bonds with Morgan Stanley and Angel Aquino-Velez. From 1997 to 2009, Aquino-Velez worked for several securities firms in Puerto Rico, including Doral Securities, UBS, and Merrill Lynch. In 2010, Aquino joined Morgan Stanley in Miami. Aquino has… Read More »
New NFLPA Registered Financial Advisor Is The Subject of a FINRA Disciplinary Proceeding
On April 1, 2016, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed a Complaint against James Goetz, a NFLPA Registered Financial Advisor. The Complaint alleged that while employed by Merrill Lynch, Goetz invested in at least five private companies without making required disclosures or receiving authorization from Merrill Lynch. FINRA also alleges… Read More »
The History Of Troubled NFLPA Registered Financial Advisors
Since its inception in 2002, the NFLPA Financial Advisor program has had more than its fair share of troubled financial advisors registered in the program. Kirk Wright, Nelson “Keith” Bond, Jeffrey Rubin, Kurt Barton, Jinesh “Hodge” Brahmbhatt, Aaron Parthemer, Sylvester King, Jr., Jonathan Schwartz, and Ash Narayan were all registered in the NFLPA Financial… Read More »
Financial Advisor Accused of Defrauding Professional Athletes
The Securities and Exchange Commission (SEC) has made allegations that a Pittsburgh-based financial advisor victimized several professional athletes. Blazer Capital Management, founded by Louis Martin (Marty) Blazer III, marketed itself as a financial services advisory firm that specialized in handling the needs of high net worth, high profile, individuals. However, the SEC alleges that… Read More »
