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
- 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)
- Variable Annuity Life Insurance Company Facing SEC Investigation over High-Cost Retirement Investments (11/7/2019)
- Greg McKinney, Formerly of Cetera Advisors, Barred by FINRA Following Failure to Provide… (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)
- Steve Klinger, Formerly of Wells Fargo, Barred by FINRA Following Failure to Testify (10/15/2019)
- Michael D’Aquila, Formerly of Merrill Lynch, Barred by FINRA for Alleged Conduct Inconsistent with Firm Standards (10/15/2019)
- Craig Siegel, Formerly of Portfolio Advisors Alliance, LLC, Suspended by FINRA for Failing to Respond to Request for Information (10/10/2019)
- William Davis, Formerly of Ameriprise Financial Services, Inc., Suspended by FINRA for Restricted List Sales (10/10/2019)
- Michael Olinde, Formerly of LPL Financial, Suspended by FINRA for Allegedly Engaging in Outside Business Activity (10/10/2019)
- Investors of Hospitality Investors Trust, Inc., Expected to Experience Significant Losses (10/9/2019)
- David Volpe, Formerly of First Financial Equity Corporation and LPL Financial, Barred by FINRA for Alleged Unauthorized Securities Sales (10/8/2019)
- Rusty Tweed, Registered Representative of Cabot Lodge Securities, LLC, Named in Multiple Customer Disputes (10/8/2019)
- Benjamin Lowder Jr., Formerly of MSI Financial Services, Inc., Barred by FINRA after Refusing to Appear for Testimony (10/8/2019)
- Bruce Jordan, Director of Investment Banking for Newbridge Securities, Fined by FINRA for Alleged Sales Practice Violations (10/8/2019)
- Cristina Sabengsy, Formerly of NYLife Securities, LLC, Barred by FINRA for Alleged Forgery of Client Signatures (10/7/2019)
- James Lamont of Whitehall-Parker Securities, Inc. Suspended by FINRA for Alleged Unapproved Private Securities Transactions (10/7/2019)
- Michael Sims, Formerly of Wedbush Securities, Inc., Subject of Multiple Customer Complaints (10/4/2019)
- Rafael Golan, Formerly of Crystal Bay Securities, Inc., Barred for Failure to Respond (10/3/2019)
- Steven Reznik, Formerly of Raymond James Financial Services, Inc., Subject to 18 Customer Disputes in Past Two Years (10/2/2019)
- Christopher Edward McClure, President and CEO of Westport Capital Markets, LLC, Sued by SEC for Fraud (10/2/2019)
- Money Concepts Capital Corporation Sued for Wrongful Sale of GPB Capital Investments (10/2/2019)
- Andres Fernandez and Edison Denizard Sued by SEC for Offering Unregistered Fraudulent Securities (10/2/2019)
- Jeffrey Vasiloff, Formerly of LPL Financial, Suspended by FINRA for Alleged Unauthorized Trading (10/2/2019)
- Michael Hull, Christopher Nohl, and Associated Entities Sued by SEC for Fraud (10/1/2019)
- Keith Wakefield, Formerly of IFS Securities, Barred by FINRA Following Refusal to Testify (9/30/2019)
- Joseph Pratt, Formerly of Wells Fargo, Barred by FINRA for Insider Trading (9/30/2019)
- David Manor, Formerly of Wells Fargo, Suspended by FINRA for Multiple Rule Violations (9/29/2019)
- SEC Bars Strong Investment Management and its Owner, Joseph Bronson, for Fraudulent “Cherry-Picking” Scheme (9/27/2019)
- Paul Mauro, Advisor for Sagepoint Financial, Receives Numerous Customer Complaints (9/27/2019)
- Lawyers Expect Increase in Complaints Against GPB Capital Holdings, Majority Owner of Prime Automotive Group (9/26/2019)
- Sigma Planning, Michigan-based Wealth Management Firm, Fined $2.5 Million by SEC (9/26/2019)
- Christopher Neil Watkins, Formerly of LPL Financial, Terminated for Allegedly Sharing Advisory Fees with Unregistered Party (9/26/2019)
- Scott Gunnip, Formerly of Morgan Stanley, Barred by FINRA for Failing to Provide Testimony to FINRA (9/25/2019)
- Christopher Fulco, Formerly of JM Capital, Sued by SEC for Operating an Offering Fraud (9/25/2019)
- SEC Charges Cambridge Capital Group Advisors, LLC and Two Former Executives with Defrauding Former-NFL Player Investors (9/24/2019)
- Spire Securities, LLC Charged $3 Million in Compensatory Damages (9/24/2019)
- Kalos Capital Fined and Censured by FINRA for Failure to Adequately Supervise Registered Representatives (9/23/2019)
- Edward James Lyons, Formerly of Raymond James & Associates, Inc., Accused of Unauthorized Trading and Recommending Unsuitable MLPs (9/20/2019)
- Halil Kozi, Formerly of Windsor Street Capital, Faces FINRA Complaint for Alleged Churning and Excessive Trading (9/20/2019)
- Kevin Murphy, Formerly of Velox Securities, Inc., Allegedly Violates FINRA Rules Against Private Securities Transactions (9/19/2019)
- Kalos Capital Sued Over Allegations that Broker Hunter McFarlin Sold Private Placements in GPB Capital (9/18/2019)
- Kerry Hoffman, Formerly of LPL Financial, Sued by SEC for Selling $3.3 Million in Unregistered Securities (9/17/2019)
- Clayton Wertz, Formerly of First Canterbury Securities, Barred from FINRA for Creating False Account Statements (9/17/2019)
- Glenn Mueller, of Northridge Holdings, Charged by SEC for Orchestrating Ponzi Scheme (9/16/2019)
- Bernie Adair, of Merrill Lynch, Involved in Pending Dispute of $550,000 for Alleged Misrepresentation (9/13/2019)
- Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Barred from FINRA for Theft (9/13/2019)
- Michael Barry Carter, Former Morgan Stanley Broker, Barred from FINRA for Misappropriation (9/13/2019)
- Timothy Johnson, Former MML Investors Services Broker, Discharged Following Allegations He Diverted Customer Funds (9/12/2019)
- Eric Savell, Former LPL Financial Broker, Suspended Five Months for Unauthorized Private Securities Transaction (9/12/2019)
- Robert S. Smith of Peregrine Private Capital / Concorde Investment Services Involved in $1.1 Million Complaint Regarding Investments in GPB Capital (9/12/2019)
- Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital Holdings Investments (9/10/2019)
- Jesse Gil, Formerly of Allstate Financial, Named Respondent in FINRA Complaint (9/10/2019)
- Thomas Johnson, Formerly of RBC Capital, Named in $1M FINRA Complaint (9/10/2019)
- Elias “Herbert” Hafen, Former Morgan Stanley Broker, Barred for Defrauding Clients (9/9/2019)
- Frederick Baerenz and David Sweat, Former Kalos Capital Brokers, Involved in Arbitration Over Recommendation of GPB Capital Securities Funds (9/9/2019)
- Darren Kubiak, Kalos Capital Advisor, Has $1M in Pending Complaints (9/6/2019)
- Bobby Coburn, Former Securities America Broker, Barred from FINRA for Failure to Appear (9/3/2019)
- Gurpreet Chandhoke and Stephen Shea, Formerly of Arete Wealth Management, Respondents in Multi-Million FINRA Complaint (9/3/2019)
- Daniel Maughan, Former Financial West Broker, Hit with Finra Complaint Alleging Churning (8/29/2019)
- Daniel Maughan, Formerly of Financial West Group, Barred by FINRA Following Churning Allegations (8/29/2019)
- Ricky Mantei, Former J.P. Turner Broker, Subject of Finra Complaint Alleging Violations of Firm’s Supervisory Policy (8/28/2019)
- Scott Andersen, Broker with Wedbush Securities, Involved in Lawsuit Alleging Conversion and Fraud (8/28/2019)
- Broker Mark Jones, of Merrill Lynch, Pierce, Fenner & Smith, Involved in Pending Misrepresentation Dispute (8/28/2019)
- Steven Reznik, Former Raymond James Broker, Hit with 6 Customer Disputes Since January (8/27/2019)
- Alpine Securities Corporation Faces FINRA Complaint Over Unauthorized Trading and Misuse of Customer Assets (8/27/2019)
- Marcus Boggs Formerly of Merrill Lynch Charged With Fraud for Stealing More Than $1.7 Million From Clients (8/27/2019)
- Erik Pica, Joseph Stone Capital Broker, Under FINRA Investigation for Misappropriation and Allegedly Providing False Testimony (8/27/2019)
- Peter Huffman, Merrill Lynch Broker, Hit with $2.7 Million Customer Dispute Alleging Churning (8/27/2019)
- Nancy Glassman, Morgan Stanley Broker, Hit with Customer Dispute Alleging Unsuitability (8/22/2019)
- FSC Securities Brokers Frank Briseno and Craig Accardo in FINRA Arbitration for Alleged Unsuitable Investment Recommendations (8/21/2019)
- Gregory Dean, Former Worden Capital Broker, Barred for Excessive and Reckless Trading in Customer Accounts to Inflate Commission (8/21/2019)
- Ken Kavanaugh, Former Morgan Stanley Broker, Suspended for 18 Months For Unauthorized Outside Business Activities (8/19/2019)
- Douglas Lamb, Cova Capital Partners Broker, Sanctioned for Recommending Non-Traded ETFs (8/16/2019)
- James Crosson, LFS Services Broker, Subject of Several Customer Disputes Alleging Misrepresentation (8/14/2019)
- Robert Henderson of IFS Securities Under FINRA Investigation for Outside Business Activities (8/14/2019)
- Brokerage Firm Royal Alliance Associates Hit with $1 Million Arbitration Complaint Over Investment with GPB Capital Holdings (8/12/2019)
- Andre Davis, Former First Standard Financial Broker, Has 14 Customer Disputes, 6 Still Pending (8/8/2019)
- John Wyshak, Former Raymond James Broker, Has Three Customer Complaints Including One Settled for $700k (8/8/2019)
- Former Nylife Securities Broker George Shadie Terminated for Concerns Over Quality of Business Practices (8/7/2019)
- Joshua Stivers, Kalos Capital Broker, Hit with Arbitration Claim Over Recommendation to Invest in Unsuitable GPB Capital Funds (8/7/2019)
- Oscar Francis, Former MML Services Broker, Barred from FINRA for Wire Fraud and Misappropriation (8/5/2019)
- Jose Cornide, of UBS Financial, Has Pending Complaints Over $10 Million (8/5/2019)
- Sonia Attkiss of UBS Financial Services Faces Investor Complaints Related to UBS Yield Enhancement Strategy Losses (7/31/2019)
- Gerard Joseph Costello of UBS Financial Services Recently Faced an Investor Complaint Over UBS YES Strategy Losses (7/31/2019)
- Scott Rosenburg of UBS Financial Services is Facing Six Complaints Over Losses Suffered With the UBS YES Strategy (7/31/2019)
- Matthew Buchsbaum of UBS Financial Services Faces 11 Investor Complaints Over UBS YES Strategy Losses (7/31/2019)
- Michael Dawson of UBS Financial Has $2 Million-Plus Customer Complaint (7/30/2019)
- Robert Montes, Former Wells Fargo Advisor, Barred from FINRA for Failure to Provide Information (7/30/2019)
- Jeffrey Blutstein, Former Kestra Investment Services Broker, Barred for Refusing to Provide Information During Finra Investigation (7/29/2019)
- Thomas Marino, Formerly of R.M. Stark & Co., Barred by FINRA for Refusal to Provide Information (7/29/2019)
- Debra Bourne, of First Standard Financial, Subject of Four 2019 Customer Disputes (7/29/2019)
- Pedro Gonzalez-Seijo, Former Transamerica Financial Advisors Broker, Convicted of Bank and Securities Fraud (7/28/2019)
- Jerry McCutchen, Former Berthel, Fisher & Company Broker, and Other Executives Ordered to Pay $1.16 (7/27/2019)
- Michael Packman, Former Axiom Capital Management Broker, Alleged to Have Sold Unsuitable Securities from GPB Capital (7/24/2019)
- Sylvester Knox, Formerly of FSC Securities, Denied Registration in Multiple States (7/22/2019)
- Charles Kenahan, Former Merrill Lynch Broker, Hit with $42 Million Customer Dispute Alleging Churning (7/22/2019)
- Daniel Soliman, Formerly of JP Morgan, Barred From FINRA for Failing to Participate in Investigation (7/22/2019)
- Roman Corona, Former Morgan Stanley Broker, Barred from FINRA for Undisclosed Accounts (7/22/2019)
- Roman Corona, Former Morgan Stanley Broker, Barred for Refusing to Appear for Testimony During Finra Investigation (7/17/2019)
- Brenda Smith, Formerly of CV Brokerage, Barred After Failing to Provide Requested Documents (7/17/2019)
- Mark Lamkin, Former LPL Financial Broker Allegedly Received Undue Compensation (7/17/2019)
- Charles Frieda and Charles Lynch, Former Wells Fargo Brokers, Hit with Dozens of Customer Disputes Alleging Unsuitability, Over Concentration (7/17/2019)
- Derrick Trussell, Former PFS Investments Broker, Barred from FINRA for Failure to Provide Information (7/17/2019)
- Christopher Jorgensen, Former Summit Brokerage Broker, Barred From FINRA for Refusing to Provide Information (7/15/2019)
- James Bylenga, Former LPL Financial Broker, Barred From FINRA for Receiving Client Loans (7/15/2019)
- Broker Manish Shah, Formerly of Northwestern Mutual, Barred from FINRA for Fraud (7/15/2019)
- Capital Financial Services Broker William Byrd: Customer Disputes Allege Unsuitable Recommendations (7/14/2019)
- Investigation of Former Wisconsin Broker Timothy Norris (7/13/2019)
- Did Kevin Canterbury Reccomend GPB Capital Investments? (7/13/2019)
- Former IFG rep Jeffrey Schwebach Ordered to Disgorge Over $19K (7/12/2019)
- Vincent Storms, Former Raymond James Broker, Barred for Falsifying Internal Audit Documents (7/11/2019)
- Dennis Gibb, Former Founder and Owner of Sweetwater Investments, Sentenced to 5 Years in Prison for Stealing Over $3 Million of Client’s Investments (7/11/2019)
- James Booth, Former LPL Advisor, Barred From FINRA For Misappropriation (7/11/2019)
- Michael Seigel, former National Securities Corporation Broker, Faces 3 Years in Prison for Defrauding Elderly Couple (7/8/2019)
- Michael Alan Siegel, Former National Securities Broker, Barred From FINRA For Theft (7/8/2019)
- William Gennity, Formerly of First Standard Financial, Barred From FINRA for Violation of Federal Securities Laws (7/8/2019)
- Investigation: Mark Plummer, former Texas E & P Partners Broker, Ordered to Pay $500k for Improperly Spending Investor Funds (7/5/2019)
- James Booth, former LPL Financial Broker, Charged by SEC with Operating Ponzi Scheme (7/5/2019)
- Summit Brokerage Services Fined, Ordered to Pay Restitution for Broker ‘Churning’ (7/3/2019)
- Fred Brown, Formerly of Merrill Lynch, Suspended by FINRA for Accepting Client Loans and Nondisclosure (6/28/2019)
- Shawna Choate, Former Spencer Edwards Broker, Investigated by Finra for Falsifying Documents (6/26/2019)
- Curtis Ile, Former Sigma Financial Advisor, Suspended by FINRA for Alleged Unauthorized Trading (6/26/2019)
- Rand Heckler, Formerly of Benjamin & Jerold Brokerage, Barred from FINRA for Unsuitability and Misrepresentation (6/26/2019)
- 11 Customer Disputes Filed Against National Securities Broker Robert Rotunno (6/22/2019)
- $1 Million Dispute Filed Against Aegis Capital Broker (6/21/2019)
- Patrick Neal Foley — Former Merrill Lynch Broker — Barred from FINRA (6/21/2019)
- Leonard Kinsman of Wells Fargo Faces Over $1M in Damages Claimed by Former Clients (6/21/2019)
- Investigation of Merrill Lynch Financial Advisors Who Mishandled the Investments of UPS Employees (6/21/2019)
- Mark Trewitt – Former VFG Securities Advisor – Suspended by FINRA (6/20/2019)
- Former Ameritas Broker James F. Anderson Barred From FINRA (6/20/2019)
- William Hobby, Former UBS Financial Broker, Hit with 4 Customer Complaints In Last Year (6/20/2019)
- Jovannie (John) Aquino formerly of Spartan Capital Barred by FINRA for Fraud and Unauthorized Trading (6/20/2019)
- Peter Goffin of Newbridge Securities Faces Customer Complaint for Breach of Fiduciary Duty (6/20/2019)
- Richard Gornto of First Financial Securities Faces Customer Claim Over Life Insurance Policy Dispute (6/20/2019)