Information about financial advisors, stockbrokers, brokerage firms, and potentially fraudulent investment schemes being investigated by our law firm.
Browse Investment Loss News Related to Brokers, Advisors, and Firms
- Paul Antevy, Broker with FMSBonds, Named in $500K Customer Dispute Alleging Junk Bond Sales (9/15/2020)
- Frank Mastrosimone, Broker with Pruco Securities, Accused of Making Inappropriate Private Investment Recommendation (9/15/2020)
- Kevin Meadows, Formerly of IBN Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations (9/15/2020)
- Carl Schwartz and RRBB Asset Management, LLC Charged by SEC with Conducting Cherry-Picking Scheme to Defraud Investors (9/15/2020)
- Michael Cohn, Former Chief Compliance Officer for GPB Capital Holdings, Pleads Guilty to Theft of Government Property (9/11/2020)
- Steven Rodemer, Formerly of Stifel, Nicolaus & Company, Fined by SEC Following Allegations of Scamming an Elderly Client (9/11/2020)
- Steven Fitzgerald Brown, Owner of Alpha Trade Analytics, Charged By SEC with Fraud (9/10/2020)
- Phillip Conley, Formerly of Merrill Lynch, Indicted for Role in Fraudulent Securities Offering (9/8/2020)
- Peter Ianace, Formerly of Wells Fargo, Barred by FINRA For Refusing to Cooperate with Investigation (9/8/2020)
- Rani Soto, Formerly of Prudential Investment Management, Named in FINRA Complaint Alleging Failure to Disclose Outside Business Activities (9/3/2020)
- Gary Wykle and Alejandro Cortes, Principals of The Republic Group, Charged by SEC for Engaging in Alleged Ponzi Scheme (9/3/2020)
- Matthew Clason, Formerly of LPL Financial, Charged by SEC With Stealing Client Funds (9/2/2020)
- Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts (9/1/2020)
- Christopher Lee Hibbard, Formerly of Merrill Lynch, Pleads Guilty to Fraud Charges (9/1/2020)
- Mark Boucher, Formerly of Raymond James Financial Services, Charged by SEC with Fraud (8/31/2020)
- Coral Gables Asset Management and Owner, David Coggins, Charged by SEC with Fraud (8/31/2020)
- Ohio Broker Dominic A. Tropiano Charged by SEC with Fraud (8/28/2020)
- Joseph LaForte, Founder of Par Funding, Seeks Release from Prison, Consents to SEC’s Control of Company Until Civil Case is Resolved (8/28/2020)
- Minish “Joe” Hede and Kevin Graetz, Formerly of Paulson Investment Company, Charged by SEC Following Allegations of Selling Away (8/27/2020)
- Charles Burchard, Formerly of Allstate Financial Services, Barred by FINRA Following Allegations of Engaging in Undisclosed Business Activities (8/26/2020)
- William Aubrey Morrow, Broker with Concorde Investment Services, Facing Customer Dispute Seeking $100K in Damages (8/25/2020)
- Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation (8/25/2020)
- Mark Wojno, Formerly of Berthel, Fisher & Company, Accused of Recommending Unsuitable Investments (8/25/2020)
- Mary Martinez, Financial Adviser of Glencoe, Indicted on Fraud Charges (8/21/2020)
- Forouzan Pooladi, Formerly of JP Morgan, Barred by FINRA After Failing to Cooperate (8/19/2020)
- Ross Barish, Broker with Joseph Stone Capital, Charged with Fraud by SEC (8/19/2020)
- Kevin Gunnip, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Unsuitable Short-Term Trading (8/18/2020)
- Ernest Mishne, Broker with Oppenheimer & Co., Named in Pending Complaint Seeking $440K (8/18/2020)
- Daniel Pimental, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (8/15/2020)
- Christopher Reid, Formerly of Morgan Stanley, Suspended Following Allegations of Outside Trading (8/15/2020)
- Christopher Pullaro, Broker for Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (8/13/2020)
- Joseph LaForte, Founder of Par Funding, Arrested on Weapons Charges (8/13/2020)
- Jack Brewer, Formerly of Brewer Capital Management, Charged by SEC with Insider Trading (8/11/2020)
- Sylvester Knox, Formerly of Merrill Lynch, Suspended by FINRA for Alleged Unauthorized Trading and Failing to Disclose Felony Indictment (8/11/2020)
- Raymond Ferro – Ex-Woodbury Financial Broker – Faces Allegations of Theft (8/6/2020)
- Christopher Bennett, Formerly of Hilliard Lyons, Barred by FINRA After Failing to Provide Documents (8/6/2020)
- Frederick Levine, Broker with RBC Capital Markets, Suspended by FINRA Following Allegations of Unsuitable Recommendations (8/5/2020)
- Joseph Michaletz, Broker with DAI Securities, Facing Customer Disputes Over GPB Capital Investments (8/4/2020)
- Charles Kulch, Formerly of Next Financial Group, Accusing of Over-Concentrating Portfolios (8/4/2020)
- Stephen Sloane, Broker for Westpark Capital, Charged by FINRA with Recommending Unsuitable Investment Strategies (7/31/2020)
- Bryant Caveness, Formerly of Ameriprise Financial Services, Barred by FINRA Over Ethics Violations (7/29/2020)
- Mark Hopkins, Formerly of American Portfolios Financial Services in Michigan, Charged by SEC with Misappropriating Client Funds (7/28/2020)
- Timothy Touloukian, Formerly of Paulson Investment Company, Named in Customer Dispute Seeking $500K in Damages (7/27/2020)
- Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (7/24/2020)
- Scot Fairchild, Broker with Lucia Securities, Named in Customer Dispute Seeking Over $200K in Damages (7/24/2020)
- Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (7/24/2020)
- James Daughtry, Formerly of Kestra Investment Services, Sued for Alleged Fraud and Theft (7/23/2020)
- Gene Esplin, Formerly of Kalos Capital, Named in Customer Dispute Seeking $1M in Damages (7/23/2020)
- David Hu, Co-Founder of International Investment Group, Charged in Alleged Ponzi Scheme (7/21/2020)
- Dustin Shafer, Formerly of Money Concepts Capital, Named in Multiple Customer Disputes Seeking Over $500K (7/21/2020)
- Scott Reed, Broker for First Financial Equity, Resigns from Wells Fargo Following Allegations of Selling Away (7/20/2020)
- James Kirchner, Formerly of David A. Noyes & Company, Accused of Making Unsuitable Investment Recommendations (7/20/2020)
- Kevin Rainwater, Broker for Arkadios Capital, Accused of Recommending Unsuitable Investments (7/20/2020)
- Jeffrey McHale, Broker for Ameriprise Financial Services, Accused of Recommending Unsuitable Investments (7/17/2020)
- Eladio Santiago, Formerly of UBS Financial, Named in Two Customer Disputes Alleging Unsuitability (7/16/2020)
- Have You Suffered Losses Investing with Merrill Lynch Broker Charles E. Kenahan? (7/13/2020)
- James Flanagan, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $100K (7/10/2020)
- William Frier, Formerly of Parkland Securities, Accused of Recommending Leveraged ETFs (7/9/2020)
- Wenjinn Chang, Broker for Independent Financial Group, Named in Customer Dispute Alleging Unsuitable Investments (7/9/2020)
- Mark Reinstein, Formerly of Sandlapper Securities, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations (7/9/2020)
- Robert David, Formerly of Morgan Stanley, Facing Multiple Customer Disputes Alleging Misconduct (7/9/2020)
- Viqas Akhtar, Broker for National Securities Corporation, Named in Multiple Customer Disputes Alleging Unsuitability (7/8/2020)
- Barry Pechenik, Broker for Morgan Stanley, Named in Customer Dispute Seeking $1M in Damages (7/8/2020)
- Kerri Jamison, Broker with Newbridge Securities, Named in Customer Disputes Seeking Almost $400k (7/8/2020)
- Michael Catoggio, Former CEO of First Standard Financial, Suspended By FINRA for Two Months and Order to Pay Fine (7/2/2020)
- J.P. Morgan and Broker Edward Turley Face Allegations of Unsuitability and Mismanagement of Assets (7/1/2020)
- Sampson Pearson Jr., Formerly of Northwestern Mutual Investment Services, Accused of Defrauding Clients (6/30/2020)
- Kevin Nevin, Formerly of Sandlapper Securities, Named in a Customer Dispute Alleging Unsuitable Investment Recommendations (6/27/2020)
- Richard Kelton, Formerly of Northwestern Mutual Investment Services, Named in Customer Dispute Seeking Over $690K (6/27/2020)
- Atul Makharia, Broker with Centaurus Financial, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (6/26/2020)
- Dennis Haywood II, Formerly of Crown Capital Securities, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations (6/26/2020)
- Frank Venturelli, Formerly of First Standard Financial Company, Suspended by FINRA Following Allegations of Excessive Trading (6/26/2020)
- Ryan Bowers, Formerly of Enviso Capital, Named in Multiple Customer Disputes Alleging Misrepresentation (6/26/2020)
- Ralph Jackson, Broker with Morgan Stanley, Named in Multiple Customer Disputes (6/25/2020)
- Dennis Mehringer Jr., Formerly of Western International Securities, Named in $3M Customer Dispute (6/23/2020)
- David Atlee, Formerly of Triad Advisors, Accused of Unsuitable Recommendations in GPB Capital Holdings (6/22/2020)
- Albert Dishner, Broker for Morgan Stanley, Fined and Suspended by FINRA (6/19/2020)
- Susan Penney, Broker for Kovack Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/19/2020)
- David Austin, Formerly of JP Morgan, Barred by FINRA Following Allegations He Stole $144K from Customers (6/16/2020)
- Dee Dee Brooks, Formerly of Signator Investors, Barred by FINRA Following Unapproved and Undisclosed Outside Business Activities (6/15/2020)
- Dwayne Mark Tidwell, Investment Advisor with Grand Parkway Capital, Accused of Unsuitable Recommendations and Misrepresentations (6/12/2020)
- Joe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions (6/12/2020)
- Matthew Muratori, Formerly of Pruco Securities, Accused of Converting Funds from a Senior Customer (6/11/2020)
- Arni Diamond, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/9/2020)
- Kevin Dziubela, Broker for National Securities, Named in Two Customer Disputes Alleging Unsuitable Investment Recommendations (6/9/2020)
- Losses in MLP or Other Energy Investments, Including With Robert J. Donovan at UBS? (6/8/2020)
- Carlos Legaspy, Broker for Insight Securities, Named in Four Customer Disputes Seeking Over $10M in Damages (6/8/2020)
- Hugh Barndollar III, Broker for Crown Capital Securities, Named in Customer Disputes Regarding Alternative Investments (6/5/2020)
- Bryon Martinsen, Broker for Centaurus Financial, Named in Multiple Customer Complaints Alleging Unsuitable Investment Recommendations (6/5/2020)
- James Daughtry, Formerly of Kestra Investment Services, Barred by FINRA for Refusing to Appear for Testimony (6/3/2020)
- Marc Linsky, Broker for ProEquities, Named in Customer Dispute Involving GPB Capital Investments (6/3/2020)
- Robert Nicholas Korzik, Formerly of Ameriprise, Suspended by FINRA After Allegations of Unauthorized Private Securities Sales (5/29/2020)
- Martin Noonan, Formerly of BMA Securities, Barred by FINRA for Refusing to Cooperate with Investigation (5/29/2020)
- Leonard Kinsman, Formerly of Wells Fargo, Barred by FINRA for Refusing to Appear for Testimony (5/27/2020)
- Robert Perlman, Broker for UBS Financial, Named in Customer Dispute Related to UBS Yield Enhancement Strategy (YES) (5/22/2020)
- John Davenport, Broker for Liberty Partners Financial Services, Named in Customer Dispute Alleging Negligence and Misrepresentation (5/22/2020)
- Christopher Ortiz, Broker for National Securities Corporation, Named in $265k Customer Dispute Alleging Unsuitability (5/20/2020)
- Arthur Hoffman, Formerly of Ameriprise Financial, Barred by FINRA For Failing to Cooperate with Investigation (5/19/2020)
- Steven Luftschein, Formerly of Aegis Capital, Accused by FINRA of Churning and Unauthorized Trading (5/18/2020)
- Ambassador Advisors and its Principals Charged by SEC for Breaching Fiduciary Duties (5/18/2020)
- Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation (5/18/2020)
- Todd Avery, Advisor for Rite Financial Group, Under Investigation by Kentucky Department of Financial Institutions (5/14/2020)
- Frank Avallone, Broker for National Securities, Named in Two Customer Disputes Alleging Unsuitable Investments (5/13/2020)
- Donald Woods, Formerly of LPL Financial, Suspended by FINRA After Allegations He Falsified Records (5/12/2020)
- Timothy Kenska, Advisor for Citigroup Global Markets, Named in Customer Dispute Seeking $150K (5/8/2020)
- David Krumrey, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Breach of Fiduciary Duty (5/6/2020)
- Jeffrey Vanover, Broker for Hilltop Securities, Accused of Making Unsuitable Investment Recommendations (5/6/2020)
- Timothy Atyeo, Broker for Oppenheimer & Co., Named in Customer Dispute Seeking $1.1M (5/6/2020)
- James Kennedy, Formerly of Woodbury Financial, Barred by FINRA After Refusing to Provide Information (5/4/2020)
- Bryan Benson, Formerly of Wells Fargo, Barred by FINRA After Refusing to Provide Information (5/4/2020)
- Charles Doraine, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Testimony (5/4/2020)
- Donald J. Kellen, Independent Advisor with Laurel Wealth Advisors, Charged by SEC with Conducting “Cherry-Picking” Scheme (5/2/2020)
- Bradley Reifler, Formerly of Forefront Capital Markets, Named in Complaint Filed by SEC (4/30/2020)
- Cindy Chiellini, Broker for Centaurus Financial, Inc., Subject of Twelve Pending Customer Disputes (4/28/2020)
- Michael Reither, Formerly of First Allied Securities, Accused of Dishonest or Unethical Conduct by Missouri Securities Division (4/28/2020)
- Joseph Roop, Formerly of Kalos Capital, Named in Customer Dispute Seeking $450,000 (4/27/2020)
- James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme (4/27/2020)
- Brian Engstrom, Formerly of Stifel, Nicolaus & Co., Suspended by FINRA for Unsuitable Short-Term Trading of UITs (4/24/2020)
- Albert Harkless III, Formerly of PFS Investments, Barred by FINRA After Allegedly Converting Client Funds (4/24/2020)
- Jeffrey Hall Heely, Formerly of NMS Capital, Suspended by FINRA Over Alleged Undisclosed Outside Business Activity (4/24/2020)
- Darren Oglesby, Broker for Money Concepts Capital Corp., Accused of Making Unsuitable Investment Recommendations (4/24/2020)
- Timothy Jan Vanlohuizen, Broker for Sagepoint Financial, Subject of Customer Disputes Totaling Over $450K (4/22/2020)
- Phillip Conley, Formerly of Merrill Lynch, Charged by SEC for Allegedly Defrauding Investors (4/21/2020)
- Gerald Dewes, Formerly of Cadaret, Grant & Co., Barred by FINRA for Refusing to Appear for Testimony (4/16/2020)
- Jonathan Pyne, Broker for Berthel, Fisher & Co., Accused of Unsuitable Investment Recommendations (4/16/2020)
- Robert D’Andria, Broker for International Asset Advisory, LLC, Suspended by FINRA for Two Months (4/16/2020)
- Anthony Sica, Broker for Joseph Gunnar & CO., Facing $750k Customer Dispute (4/14/2020)
- James Flower, Formerly of SW Financial, Facing Allegations of Churning and Excessive Trading (4/14/2020)
- Steve Jun Lu, Formerly of JP Morgan, Barred by FINRA Following Allegations He Attempted to Mislead Elderly Woman (4/10/2020)
- Timothy Hetrick, Formerly of US Brokerage, Barred by FINRA After Refusing to Appear for Testimony (4/10/2020)
- Alexander James, Formerly of Voya Financial, Suspended for One Year Over Alleged Unapproved Outside Business Activity (4/7/2020)
- Patrick Coogan, Formerly of LPL Financial, Barred by FINRA Following Allegations He Made “Reckless Misrepresentations” in Agreements (4/7/2020)
- Ashley Martin, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Altering Customer Forms (4/6/2020)
- Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation (3/20/2020)
- Halil Kozi, Formerly of Windsor Street Capital, Suspended by FINRA Following Allegations of Excessive Trading (3/20/2020)
- Frederic O’Hara, Formerly of Sagepoint Financial, Suspended by FINRA Over Allegations He Engaged in Unapproved Outside Business Activities (3/20/2020)
- Dennis Farrah, Formerly of Taylor Capital Management, Barred by FINRA and SEC After Allegations of Selling Away (3/18/2020)
- John Stuart Crain, Formerly of Summit Brokerage Services, Suspended by FINRA Following Allegations That He Altered Documents (3/18/2020)
- Herbert Hafen, Formerly of Morgan Stanley, Charged with Misappropriating Client Funds (3/16/2020)
- Jerry Szilagyi, CEO of Catalyst Capital Advisors, Sanctioned by SEC Regarding Material Misstatements and Omissions (3/16/2020)
- Matthew Baltz, Formerly of Cambridge Investment Research, Facing Customer Dispute Alleging Variable Annuity Losses (3/16/2020)
- Bart Bohrer, Formerly of Capital Financial Services, Named in Customer Disputes Totaling Over $1M (3/12/2020)
- Jacquin Fink, Formerly of Merrill Lynch, Subject of Eight Customer Complaints Regarding Unsuitable Recommendations (3/12/2020)
- James T. Flynn, Formerly of Voya Financial, Has Received Over 45 Customer Complaints Since 2018 (3/12/2020)
- Raymond Thomas, Formerly of Network 1 Financial Securities, Named in FINRA Complaint Alleging Participation in Unauthorized Outside Business Activities (3/12/2020)
- Imran Razvi, Formerly of Lincoln Financial, Suspended by FINRA Following Allegations of Unauthorized Business Activities (3/10/2020)
- Louis Cook, Formerly of National Planning Corp., Barred by FINRA for Making Intentional Misrepresentations to Customers (3/9/2020)
- Andre Pierre Davis, Formerly of First Standard Financial, Barred by FINRA for Refusing to Produce Information and Documents (3/9/2020)
- Mark Trewitt, Formerly of VFG Securities, Named in Numerous Customer Disputes Alleging Overconcentration and Unsuitable Recommendations (3/9/2020)
- Clement Chichester, Formerly of Western International Securities, Named in $100K Settlement for Broker Misconduct (3/9/2020)
- Daniel Saur, Formerly of Kalos Capital, Named in Customer Disputes Alleging Unsuitable Recommendations (3/6/2020)
- Travis Lippmann, Formerly of Newbridge Securities, Accused of Unsuitable Investment Recommendations (3/5/2020)
- Christopher Shaw, Formerly of Kalos Capital, Facing Customer Dispute Concerning Sale of GPB Capital Investments (3/4/2020)
- E. Kyle Davis, Formerly of Raymond James & Associates, Named in Customer Dispute Seeking $500,000 in Damages (3/4/2020)
- Terrence Bonk, Formerly of Feltl & Co., Suspended by FINRA Following Allegations He Borrowed Money from a Customer (2/28/2020)
- Rodney Potratz, Employed by FSC Securities, Named in Customer Dispute Concerning Alternative Investment Recommendations (2/28/2020)
- Gustavo Trujillo Franco, Formerly of Global Strategic Investments, Named in FINRA Complaint Regarding Alleged Fraudulent Wire Transfers (2/28/2020)
- Kimberly Springsteen-Abbott, Formerly of Commonwealth Capital Securities, Barred by FINRA for Allegedly Misusing Investor Funds (2/26/2020)
- Daryl Serizawa, Formerly of Independent Financial Group, Under Investigation for Recommending GPB Capital Private Placements (2/25/2020)
- Martin Batstone, Formerly of Newbridge Securities, Barred by FINRA Following Allegations of Converting Funds (2/25/2020)
- Thomas Murphy, Formerly of Merrill Lynch, Suspended by FINRA Following Allegations of Signing Outside Subscription Agreements Without Authorization (2/20/2020)
- Richard Cody, Formerly of IFS Securities, Receives Final Judgment in Favor of SEC (2/19/2020)
- Ronald Hannes, Formerly of Woodbury Financial Services, Barred by FINRA for Refusing to Provide Documents and Information (2/18/2020)
- Jeffrey Nimmow, Formerly of Forest Securities, Inc., Accused of Unauthorized Sales of Woodbridge Promissory Notes (2/14/2020)
- Jason Hawke, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Since 2010 (2/14/2020)
- Jeffrey Wiseman, Formerly of Morgan Stanley, Named in FINRA Arbitration Filed by Former NBA All-Star Chris Bosh (2/13/2020)
- Brian Frank, Broker for Ascendant Alternative Strategies, Facing $250,000 Customer Dispute Over Alleged Unsuitability and Misrepresentation (2/13/2020)
- Michael Sievert, Financial Advisor with Arkadios Capital, Named in Customer Disputes Regarding GPB Capital Holdings (2/11/2020)
- John Harman, Formerly of Berthel Fisher and Royal Alliance, Suspended by FINRA for Violating FINRA Rule 2010 (2/10/2020)
- Elias Hafen, Formerly of Wells Fargo and Morgan Stanley, Sentenced to 30 Months in Prison for Fraud (2/10/2020)
- Gus Marwieh, President of Marwieh Advisory Services, Has Registration Revoked by Texas Securities Board (2/10/2020)
- Daniel Castoriano, Formerly of Century Securities Associates, Suspended by FINRA for Failure to Provide Information (2/10/2020)
- Mason Gann, Formerly of Berthel Fisher, Suspended by FINRA Over Alleged Unsuitable Investments (2/5/2020)
- Christopher Barone, Formerly of America Northcoast Securities, Barred by FINRA for Multiple Violations (2/5/2020)
- Kerry Wills, Registered Representative with First Western Securities, Suspended by FINRA for Borrowing Money from Elderly Customer (2/4/2020)
- Edward Matthes, Formerly of Mutual of Omaha, Consented to Fraud Charges from the SEC (2/4/2020)
- Michele Boyer, Formerly of Concorde Investment Services, Named in Allegations of Non-Traded REIT and Energy Sector Losses (2/4/2020)
- Michael Pellegrino, Formerly of Taylor Capital Management, Named in Allegations of Northstar REIT Losses (2/4/2020)
- Robert Spiegel, Formerly of First Standard Financial Company, Suspended Over Allegations of Excessive Trading (2/4/2020)
- Andrew Krakaur, Broker for Axa Advisors, LLC Named in FINRA Arbitration for Corporate Capital Trust and Northstar REIT Losses (1/30/2020)
- Enrique Lopez, Formerly of LPL Financial, Facing Allegations of Unsuitable, Over-Concentrated Investments (1/30/2020)
- Christopher Tolman, Broker for UBS Financial Services, Accused of Recommending Unsuitable Investments (1/30/2020)
- Michael Leahy, Formerly of Standard Financial Company, Barred by FINRA for Allegedly Failing to Supervise a Former Registered Representative (1/28/2020)
- Kari Bracy, Formerly of NYLife Securities, Inc., Barred by FINRA for Failure to Appear for Testimony (1/28/2020)
- Richard George, Broker for Morgan Stanley, Accused of Making Unsuitable Investment Recommendations (1/24/2020)
- Andrew Grant, Broker for Laidlaw & Co., Suspended by FINRA for Unauthorized Trading (1/24/2020)
- Paul Petrillo, Formerly of Thrivent Investment Management, Barred by FINRA Following Allegations of Selling Away and Undisclosed Private Securities Transactions (1/23/2020)
- Albert Foronda, Formerly of Legend Securities, Suspended by FINRA for Unauthorized Transactions (1/22/2020)
- Dexter Thomas, Formerly of LPL Financial, Subject to Multiple Customer Disputes (1/22/2020)
- Richard Wesselt, Formerly of O.N. Equity Sales, Subject of Multiple Customer Disputes (1/21/2020)
- Bradley Mascho, Formerly of Western International Securities, Barred by SEC For Alleged Participation in Ponzi Scheme (1/21/2020)
- Jason LaBelle, Broker for LPL Financial, Suspended and Fined Over Alleged Participation in Undisclosed Outside Business Activities (1/21/2020)
- James Willing, Formerly of Morgan Stanley, Suspended by FINRA for 35 Days (1/17/2020)
- Alex Shvartsman, Broker for TD Ameritrade, Named in Customer Complaint Alleging Unsuitable Recommendations (1/16/2020)
- Eric Silvestre, Formerly of JP Morgan, Resigned While Under Internal Investigation (1/15/2020)
- Stuart Godin, Formerly of RBC Capital Markets, Subject of Multiple Customer Disputes (1/15/2020)
- John Chrysadakis, Formerly of Northwestern Mutual, Barred by FINRA Following Refusal to Provide Information (1/14/2020)
- Bradley Renberg, Broker for Ameriprise Financial, Accused of Unsuitable Recommendations (1/14/2020)
- Shlomo Strugano, Formerly of First Allied Securities, Barred by FINRA Amid Allegations of Forgery (1/13/2020)
- Kristian Finfrock, Registered Representative for Kalos Capital, Sued for Wrongful Sale of GPB Capital Investments (1/10/2020)
- Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply with Investigation (1/10/2020)
- John Hoidas, Currently of Uhlmann Price Securities, Accused of Selling GPB Capital Investments (1/9/2020)
- Clint Keener, Formerly of Capital City Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations (1/8/2020)
- Jeffrey Dixson, Currently of Madison Avenue Securities, Facing Customer Complaint Concerning GPB Capital Investments (1/8/2020)
- John Cahill, Formerly of Janney Montgomery Scott, Barred for Failing to Comply with FINRA Investigation (1/8/2020)
- Roberto Fernandez, Broker for Merrill Lynch, Accused of Unsuitable Investment Recommendations (1/7/2020)
- Gary Imel, Formerly of Ameriprise Financial, Facing Investigation Over GPB Capital Losses (1/7/2020)
- Keith Springer, Owner of Springer Financial Advisors, Charged with Fraud by SEC (1/7/2020)
- Thomas Connerton, CEO of Safety Tech, Accused of Defrauding over 70 Investors (1/7/2020)
- Mercer Hicks III, Formerly of Capital Investment Group, Accused of Unsuitable Investment Recommendations (1/2/2020)
- Gordon Harper, Broker for Merrill Lynch, Sued for CYES Losses (1/2/2020)
- Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months (1/2/2020)
- Ezri Shechter, Employed by Spencer-Winston Securities, Suspended by FINRA for Three Months (1/2/2020)
- Jeannette Adcock, Formerly of David A. Noyes & Company, Named in Customer Dispute Related to Sale of Illiquid Structured Certificates of Deposit (12/30/2019)
- Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations (12/27/2019)
- Dain Stokes, Formerly of LPL Financial, is Facing Allegations of Converting Client Funds through a Fake African Charity (12/27/2019)
- Lake Tahoe Lawyer Accused of Fraud and Money Laundering (12/22/2019)
- Nephew Accused of Depleting Relatives’ Retirement Funds (12/22/2019)
- Albert Foronda, Formerly of Worden Capital Management, Under FINRA Investigation (12/19/2019)
- Michael Sievert, Financial Advisor at Arkadios Capital, Accused of Selling Unsuitable Investments in GPB Capital Holdings (12/19/2019)
- Steven Case, Advisor for LPL Financial, Subject to Customer Complaints Regarding Alternative Investments (12/17/2019)
- Robert Henderson, Formerly of IFS Securities, Sued by FINRA for Unauthorized Outside Business Activities (12/17/2019)
- Luke Johnson, Advisor for Coastal Equities, Inc., Accused of Selling Fraudulent GPB Capital Investments (12/16/2019)
- Gerald Coyne, Formerly of CUSO Financial Services, Barred by FINRA For Failing to Provide Testimony (12/16/2019)
- Rusty Tweed Appeals Bar by FINRA (12/16/2019)
- James Booth, Formerly of LPL Financial, Pleads Guilty to Securities Fraud (12/13/2019)
- James D’Meo, Formerly of Kenneth Jerome & Co., Barred by FINRA for Failing to Provide Information (12/12/2019)
- John Borsellino, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unsuitable Recommendations (12/11/2019)
- David Rosenberg, Former Prime Automotive Group CEO, Seeking Reinstatement (12/10/2019)
- Kane Waller, Formerly of National Financial Services, Charged by FINRA for Misconduct (12/10/2019)
- Lester Burroughs, Registered with Lincoln Investment, Pleads Guilty to $575K Ponzi Scheme (12/9/2019)
- Eugene Gordon, Formerly of Morgan Stanley, Suspended by FINRA for Unauthorized Trades (12/9/2019)
- Peter Monson, Broker for Van Clemens & Co, Under Investigation for Excessive Trading (12/9/2019)
- Ashley Woodard, Formerly of Voya Financial Advisors, Named in Multiple Customer Complaints Regarding Illiquid Securities (12/6/2019)
- Kurt Jackson, Broker for Commonwealth Financial Network, Facing Customer Dispute Seeking $500,000 (12/6/2019)
- Ronald Roach, Formerly of Securities America, Barred by SEC for Alleged Participation in Ponzi Scheme (12/5/2019)
- Murry Shapero, Broker for Maxim Group, Suspended by FINRA for Unauthorized Trading (12/5/2019)
- Leon Almeida, Broker for MML Investors Services, Named in Customer Dispute Alleging Misrepresentation (12/5/2019)
- David Kendrick, Formerly Of NYLife, Suspended by FINRA for 18 Months (12/2/2019)
- Gerald Eaton, Formerly of Commonwealth Financial Network, Barred by FINRA for Failing to Provide Information (12/2/2019)
- Robert Genito, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Information (12/2/2019)
- Hannah Peterson Weber, Broker for Merrill Lynch, Named in $1 Million Customer Dispute (11/26/2019)
- Michael Collins, Formerly of Kingsbury Capital, Suspended by FINRA Following Allegations of Participating in Private Securities Actions (11/26/2019)
- Fredrick Randhahn, Formerly of Sigma Financial, Suspended by FINRA Following Sale of Woodbridge Group Promissory Notes (11/21/2019)
- Brian Lockett, Broker for Independent Financial Group, Suspended by FINRA for Hiding a $50K Private Placement (11/19/2019)
- John Hoagland, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unauthorized Trading (11/18/2019)
- Justine Zhou, Formerly of The Leaders Group, Barred by FINRA Following Termination (11/18/2019)
- Philip Sparacino, Formerly of First Standard Financial Company, Barred by FINRA Following Termination (11/18/2019)
- Timothy Millis, Formerly of NYLife Securities, Suspended Following Allegations of Unsuitable Investments (11/18/2019)
- Lance Roman Armstrong, Formerly of Raymond James Financial Services, Barred for Failure to Assist in Investigation (11/18/2019)
- Tariq Sales, Formerly of Newbridge Securities, Facing Allegations of Negligence (11/14/2019)
- John Santariello, Formerly of Arive Capital Markets, Named in Customer Dispute Alleging Churning (11/14/2019)
- Richard Pittman, Broker for Cetera Advisors, Named in Dispute Over Suitability (11/12/2019)
- Marosa Linan Abrego, Formerly of Merrill Lynch, Barred by FINRA for Failure to Appear for Testimony (11/11/2019)
- Jason LeBlanc, Formerly of Girard Securities, Barred by FINRA Following Allegations that he Failed to Disclose Several Outside Business Activities (11/11/2019)
- David Jose Lugo, Formerly of UBS Financial Services, Facing Multiple Customer Complaints (11/11/2019)
- GPB Capital, Alleged Ponzi Scheme, Riddled with Lawsuits from Former Investors (11/10/2019)
- David Ferwerda, Formerly of Signator Investors, Barred by FINRA for Refusing to Provide Information (11/10/2019)
- Greg McKinney, Formerly of Cetera Advisors, Barred by FINRA Following Failure to Provide… (11/7/2019)
- Variable Annuity Life Insurance Company Facing SEC Investigation over High-Cost Retirement Investments (11/7/2019)
- Christopher Kozak, Formerly of Cetera Advisors, Suspended by FINRA for Failure to Disclose an Outside Business Activity (11/6/2019)
- Paul Wescoe Smith, Formerly of Bolton Global Capital, Barred by the SEC and FINRA Following… (11/6/2019)
- Kim Kopacka, Formerly of IMS Securities, Barred by FINRA Following Allegations She Helped Her Husband Produce $6 Million in Commissions (11/5/2019)
- Trevor Rahn, Formerly of JP Morgan, Facing Allegations of Unauthorized Trading (11/5/2019)
- Alan Appelbaum, Broker for Aegis Capital, Involved in Multiple Customer Disputes Alleging Unsuitability (11/4/2019)
- William Foster, Broker for Ameriprise Financial Services, Involved in Customer Dispute Regarding… (11/4/2019)
- Genevieve Mar, Broker for Berthel, Fisher & Company Financial Services, Named in Multiple Customer Dispute Alleging Unsuitable Investment Recommendations (11/3/2019)
- Steve Netzel, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (11/3/2019)
- Morgan Stanley Fined $382,500 For Failure to Supervise Former Broker Justin Amaral (11/1/2019)
- Jefferey Dyra, Formerly of Bankers Life Securities, Barred by FINRA Following Refusal to Provide Information (11/1/2019)
- Wes Baiz, Formerly of The Huntington Investment Company, Barred by FINRA Following Refusal to Provide Information (10/31/2019)
- William Hightower, Formerly of UBS Financial, Facing Multiple Customer Disputes (10/31/2019)
- Stuart Nichols, Formerly of Raymond James, Barred by FINRA Following Churning Allegations (10/31/2019)
- Erik Pica, Broker for Joseph Stone Capital, Sued by FINRA for Misuse of Client Funds (10/31/2019)
- Dean Kajouras, Broker for Fordam Financial Management, Named in Multiple Customer Complaints (10/30/2019)
- Brandon Stimpson, Formerly of Allegis Investment Services, Accused of Unsuitable Investment Recommendations in Options (10/30/2019)
- Alex Blanco, Formerly of Hornor Townsend & Kent, Inc., Facing Allegations of Unsuitable Investments (10/28/2019)
- Trevor Rahn, Formerly of J.P. Morgan, Facing Allegations of Excessive Trading (10/28/2019)
- Steven Yellen, Formerly of JP Morgan, Consented to One-Year Suspension and $25,000 Fine (10/28/2019)
- Jason Mosher, Advisor for Kalos Capital, Allegedly Recommended GPB Capital Private Placements to Investors (10/25/2019)
- Michael Cohn, Former Chief Compliance Officer of GPB Capital Holdings, Charged by SEC with Obstruction of Justice (10/25/2019)
- George Marwieh, Former Registered Investment Advisor, Facing License Revocation in Texas (10/25/2019)
- Anthony Hobson, Advisor for Money Concepts Capital Corp, Faces Allegations Concerning Alternative Investments (10/24/2019)
- Daniel Arcuri Jr., Formerly of Thrivent Investment Management, Named in FINRA Complaint for Failure to Appear (10/24/2019)
- Adam Lunceford, Financial Advisor at LPL Financial, Named in Customer Dispute Seeking $250,000 (10/23/2019)
- Frederick Stow, Formerly of Raymond James & Associates, Discharged Following Allegations of Client Fund Misappropriation (10/23/2019)
- Ami Forte and Charles Lawrence, Formerly of Morgan Stanley, Barred by FINRA for Alleged Churning (10/22/2019)
- Dennis Mehringer Jr., Formerly of Western International Securities, Barred by FINRA Following Refusal to Provide Information (10/22/2019)
- Wallachbeth Capital Consents to Censure and $60,000 Fine (10/22/2019)
- Charles Bridgers, Formerly of Wells Fargo, Suspended and Fined by FINRA for Allegedly Purchasing Bonds without Client Authorization (10/20/2019)
- Elton Norman, Formerly of First Command Financial, Barred by FINRA Following Refusal to Provide Information (10/20/2019)
- Mark Cramer, Formerly of MML Investors Services, Suspended and Fined by FINRA (10/20/2019)
- Madison Avenue Securities and Crystal Bay Securities Accused of Negligence in Connection with Sale of GPB Capital Stock (10/18/2019)
- Jamie Westenbarger, Formerly of Securities America, Barred by FINRA for Borrowing Funds from Clients (10/17/2019)
- Erlloisse Magan, Formerly of TD Ameritrade, Suspended by FINRA and Fined $10,000 (10/17/2019)
- Two Broker-Dealers Going Out of Business Following Major Losses (10/17/2019)
- Cetera Advisors, LLC Charged with Breach of Fiduciary Duty and Defrauding Clients (10/16/2019)
- Yvonne Silguero, Financial Advisor for LPL Financial, Involved in $500,000 Customer Dispute (10/15/2019)
- Rob Burns, Registered Representative with Cetera Advisors Networks, Involved in $500,000 Customer Dispute (10/15/2019)
- Maureen Scalzo, Formerly of Benjamin F. Edwards & Company, Barred by FINRA Following Failure to Testify (10/15/2019)