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
- Shaun Stein, Broker with National Securities Corp., Facing Customer Disputes Alleging Unsuitable Investments (11/24/2020)
- Peter Kohli, Formerly of Trustmont Financial Group, Facing 5 Pending Customer Disputes Alleging Various Forms of Misconduct (11/24/2020)
- Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes (11/20/2020)
- Michael Bell, Broker with Cetera Advisor Networks, Facing Customer Dispute Alleging Unsuitable, Over-Concentrated Investments (11/20/2020)
- Joseph Kelly, Broker with Spartan Capital Securities, Facing 3 Customer Disputes Alleging Unsuitable Investment Recommendations (11/20/2020)
- Felipe Henao Vargas, Broker with Insigneo Securities, Facing $1.3M Customer Dispute Involving VIX Short-Term Futures ETN (11/18/2020)
- Tatyana Moyseevna Bunich, Broker with Independent Financial Group, Facing Two Customer Disputes Alleging Unsuitable Investments (11/18/2020)
- Maurice McKinney, Broker with Concorde Investment Services, Facing $1M Customer Dispute Regarding REIT Investments (11/18/2020)
- David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals (11/18/2020)
- Felix Chu, Formerly of NY Life, Facing Two Pending Customer Disputes Alleging Unsuitable Promissory Note Investments (11/18/2020)
- Matthew Nekuza, Formerly of TD Ameritrade, Barred by FINRA Over Allegations of Conversion of Firm Funds and Providing False Testimony (11/17/2020)
- Ivan Shore, Oppenheimer Financial Advisor, Accepts FINRA Suspension Over Alleged Pattern of Unsuitable Recommendations (11/12/2020)
- Jorge Sonville, Broker with Merrill Lynch, Facing $4M Customer Dispute Alleging An Unsuitable Investment Recommendation (11/11/2020)
- Royce Running, Broker with Centaurus Financial, Facing Customer Dispute Alleging Unsuitable and Illiquid Investment Recommendations (11/10/2020)
- Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs (11/10/2020)
- Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation (11/5/2020)
- Chris Tolmacs, Formerly of Triad Advisors, Facing Customer Dispute Alleging Unsuitable Investments (11/4/2020)
- SEC Charges Adam P. Rogas, Founder of NS8, Inc., With Fraud; Investors May Have Options for Recovery (11/2/2020)
- Charatie A. Seelye Among 60 Defendants Charged in $300M Telemarketing Fraud Scheme Targeting Seniors (11/2/2020)
- Brooklynn Chandler Willy Suspended by Texas Securities Regulator Over Alternative Sales to Conservative Investors (10/29/2020)
- James Geake, Broker with Madison Avenue Securities, Subject of Multiple Settled Customer Disputes Alleging Misconduct (10/29/2020)
- Joseph Hain, Broker with Noble Capital Markets, Facing Two Customer Disputes Alleging Misrepresentation of Investments (10/29/2020)
- Samuel Izaguirre, Broker with LPL Financial, Facing $600K Customer Dispute (10/27/2020)
- Brendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading (10/27/2020)
- Tony Esses, Broker with Wells Fargo, Facing Customer Dispute Alleging Fraud (10/27/2020)
- Justin Girard, Broker with JP Morgan, Facing $1M Customer Dispute Alleging Excessive Trading (10/27/2020)
- Christopher Fernan, Formerly of Salomon Whitney Financial, Barred by FINRA Over Failure to Provide Testimony (10/23/2020)
- Troy Baily, Formerly of Sagepoint Financial, Suspended by FINRA While Facing $135K Customer Dispute Alleging Improper Investment Recommendations (10/23/2020)
- John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization (10/21/2020)
- Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures (10/21/2020)
- Pratul Agnihotri, Broker with SW Financial, Suspended and Fined Over Alleged Outside Business Activities (10/20/2020)
- Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations (10/20/2020)
- Joseph Chu, Broker with RBC Capital Markets, Facing Over $2M in Customer Disputes Involving Energy Sector Losses (10/19/2020)
- Jonathan Freeze, Formerly of Fortune Financial Services, Facing 8 Pending Customer Disputes (10/15/2020)
- David Turetzky, Formerly of Morgan Stanley, Facing 3 Pending Customer Disputes Alleging Failure to Supervise Management of Customer Accounts (10/15/2020)
- Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty (10/15/2020)
- Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions (10/15/2020)
- Neemit Shah, Formerly of Northwestern Mutual, Suspended and Fined Over Alleged Unapproved, Private Securities Transactions (10/13/2020)
- David Tucker, Formerly of Brooklight Place Securities, Facing Administrative Action by State of Florida Over Alleged Misconduct (10/13/2020)
- Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities (10/13/2020)
- Robert Meyer, Broker with Monmouth Capital Management, Suspended by FINRA Over Alleged Unsuitable Trading (10/8/2020)
- Michael Bell, Broker with Cetera Advisor Networks, Named in Customer Dispute Seeking $237K in Damages (10/7/2020)
- Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading (10/6/2020)
- Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading (10/1/2020)
- Corbin Lambert, Former CEO of Continuum Financial, Charged by SEC with Conducting Cherry-Picking Scheme (10/1/2020)
- Lindner Capital Investors and its Founder, Robert J. Lindner, Charged by SEC (9/30/2020)
- Craig Zabala, Owner of Concorde Group Holdings, Charged with Fraud by SEC (9/30/2020)
- Andrew Perri, Investment Adviser with Pinnacle Wealth Management, Named in Customer Dispute Alleging Unsuitable Recommendations (9/29/2020)
- Michael Martino, Broker with Four Points Capital Partners, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (9/29/2020)
- John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations (9/29/2020)
- William Baumner, Broker with TradeSpot Markets, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (9/28/2020)
- Monty Cerf, Broker with UBS Financial, Named in Multiple Customer Dispute Seeking Over $19M in Damages (9/28/2020)
- Neil James Buono, Formerly of Taylor Capital, Barred by FINRA Following Allegations of Forging Client Signatures (9/28/2020)
- Ronald Birnbaum, Broker with Advisory Equity Services, Named in Four Customer Disputes Seeking Over $600K in Combined Damages (9/28/2020)
- Marshall Isaacson, Formerly of Newbridge Securities, Barred by FINRA After Refusing to Provide Documents and Information (9/24/2020)
- Michael Kamperman, Formerly of HD Vest Investment Services, Named in Multiple Customer Disputes Seeking $600K in Damages (9/22/2020)
- Cygnus Capital Management and Late CEO Richard Ventrilla Charged by SEC with Fraud (9/22/2020)
- Craig Foreman, Broker for Edward Jones, Facing Customer Dispute Alleging Fraud (9/21/2020)
- Jeffrey Dillman, Broker for Trustmont Financial, Named in Customer Dispute Seeking Over $375K in Damages (9/21/2020)
- Scott Fries, Formerly of TransAmerica Financial Advisors, Charged by SEC with Defrauding Clients (9/21/2020)
- 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, Barred by FINRA for Failing to Provide Testimony (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)