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
- David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades (11/18/2021)
- Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA (11/18/2021)
- Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records (11/18/2021)
- Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading (11/18/2021)
- Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities (11/18/2021)
- Marc Frederick Korsch, Formerly of Arkadios Capital, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations (11/10/2021)
- William Edward Torriente Jr., Formerly of Comerica Securities, Named in Customer Dispute Seeking $500k (11/10/2021)
- Carl Damien Gill, Formerly of United Planners’ Financial Services of America, Facing Multiple Pending Customer Disputes (11/10/2021)
- Paul Warren Vizanko, Formerly of Wells Fargo, Barred by FINRA Following Refusal to Respond to Information Request (11/10/2021)
- Jeffrey Alan Kiensnoski, Broker with Concorde Investment Services, Named in Customer Dispute Seeking $1M in Damages (11/10/2021)
- James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme (11/8/2021)
- Sarah Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/29/2021)
- NJ Financial Advisor Kenneth Welsh Accused of Fleecing Clients of $2.86M (10/29/2021)
- Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages (10/27/2021)
- Jon Peter Lindberg, Formerly of ProEquities, Inc., Named in Two Pending Regulatory Disputes (10/27/2021)
- Marcus Angelo Beasley, Formerly of Supreme Alliance, Barred by FINRA Following Allegations of Offering Unregistered Securities (10/27/2021)
- Xiao Qin Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages (10/27/2021)
- Marc Augustus Reda, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Churning in Customer Accounts (10/27/2021)
- Kevin Carey Doyle, Formerly of Raymond James & Associates, Censured by Oklahoma Department of Securities (10/22/2021)
- Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations (10/22/2021)
- Scott Robert Rahn, Formerly of LPL Financial, Target of Investigation Concerning Unsuitable Trades (10/22/2021)
- Edgar Kleydman, Formerly of MML Investors Services, Barred by FINRA Following Refusal to Appear for Testimony (10/22/2021)
- Jamie John Worden, Formerly of Worden Capital Management, Barred by FINRA Following Refusal to Produce Information (10/22/2021)
- James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations (10/18/2021)
- Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information (10/18/2021)
- Louis Martin Wargo, Broker with FSC Securities, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
- Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration (10/18/2021)
- William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (10/18/2021)
- Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement (10/12/2021)
- Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients (10/12/2021)
- Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony (10/12/2021)
- Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information (10/7/2021)
- Barry Steven Snyder, Formerly of Snowden Account Services, Named in Customer Dispute Seeking $500k in Damages (10/7/2021)
- Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act (10/5/2021)
- Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients (10/5/2021)
- Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages (10/5/2021)
- Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (10/3/2021)
- Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months (9/20/2021)
- Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages (9/20/2021)
- Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (9/20/2021)
- Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information (9/20/2021)
- Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading (9/20/2021)
- Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (9/20/2021)
- Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities (9/20/2021)
- Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months (9/20/2021)
- Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds (9/20/2021)
- Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds (8/19/2021)
- Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds (8/19/2021)
- Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise (8/16/2021)
- Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise (8/16/2021)
- Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations (8/16/2021)
- James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud (8/16/2021)
- George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors (8/12/2021)
- Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (8/12/2021)
- Geoffrey Thompson Charged by SEC with Selling Unregistered Securities (8/12/2021)
- Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations (8/12/2021)
- Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading (7/28/2021)
- Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering (7/28/2021)
- Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application (7/28/2021)
- Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away (7/23/2021)
- Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
- Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/23/2021)
- Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading (7/23/2021)
- Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations (7/19/2021)
- David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (7/19/2021)
- Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages (7/19/2021)
- Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds (7/19/2021)
- Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year (7/19/2021)
- John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information (7/19/2021)
- Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations (7/7/2021)
- Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct (7/7/2021)
- Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty (7/7/2021)
- Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (7/7/2021)
- Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes (7/7/2021)
- Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations (7/7/2021)
- Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information (7/6/2021)
- Steve Berrocal, Broker with Truist Investment Services, Named in Three Pending Customer Disputes Alleging Unsuitable Investment Recommendations (6/23/2021)
- Christopher Bice, Broker with SagePoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations (6/23/2021)
- David Fenning, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/23/2021)
- Louis Kreisberg Barred by FINRA Following Refusal to Produce Information (6/23/2021)
- Edward Earl Matthes, Formerly of Mutual of Omaha Investor Services, Sentenced to Over 5 Years in Federal Prison (6/23/2021)
- Paul Richard McGonigle, Formerly of LPL Financial, Accused of Defrauding Elderly Clients (6/23/2021)
- Property Income Investors and its Founder, Larry Brodman, Charged by SEC with Operating Real Estate Scam (6/23/2021)
- James Mark Senglaub, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $300K in Damages (6/14/2021)
- Walter Leighton Stallones, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/14/2021)
- Dermond Thomas Cavanaugh, Formerly of Merrill Lynch, Named in Customer Dispute Seeking $50M in Damages (6/14/2021)
- Richard Evan Baer, Broker with Lion Street Financial, Facing Multiple Customer Disputes Seeking Over $1.75M Collectively (6/14/2021)
- Brent Charles Bunger, Broker with Lion Street Financial, Named in Pending Customer Dispute Seeking $850K (6/14/2021)
- Grant Christopher Birkley, Formerly of Sagepoint Financial, Barred by FINRA Following Refusal to Produce Documents and Information (6/14/2021)
- Abhishek Sheth, Broker with National Securities Corporation, Accused of Recommending GPB Capital Investments (6/14/2021)
- David Reimer, Broker with Aegis Capital, Accused of Recommending Investments in GPB Capital (6/14/2021)
- William Ard, Broker with Morgan Stanley, Named in Customer Dispute Seeking $6.5M in Damages (6/4/2021)
- Leif David Olson, Broker with Wells Fargo, Named in Customer Dispute Seeking $400k in Damages (6/4/2021)
- John Wade Loofbourrow, Formerly of Demopolis Capital, Facing Customer Dispute Alleging Investments in Ponzi Scheme (6/4/2021)
- James Frederic Bowdish, Broker with Edward Jones, Named in customer Dispute Alleging Failure to Pay Life Insurance Premiums (6/4/2021)
- Rudolf Molnar, Broker with Ameriprise Financial, Named in Customer Dispute Alleging Unsuitable Recommendations (6/4/2021)
- Mark Barrand, Broker with Ameriprise Financial Services, Facing Customer Disputes Alleging Unsuitable Recommendations (6/4/2021)
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/26/2021)
- Adam Belardino, Formerly of MML Investors, Suspended by FINRA Following Failure to Appear for Testimony (5/26/2021)
- Randy Scott Larson, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
- Joey Dale Miller, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
- Brian Sanguinet, Broker with Arete Wealth Management, Named in Arbitration Claim (5/26/2021)
- William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents (5/19/2021)
- Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony (5/19/2021)
- Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account (5/19/2021)
- Maxwell Drever, California-Based Real Estate Developer, Charged by SEC Following Allegations of Misleading Investors (5/19/2021)
- Robin Vail Platt, Broker with Hancock Whitney Investment Services, Accused of Unsuitable Investment Recommendations (5/19/2021)
- Tyler Tysdal, Owner of Cobalt Sports Capital, Accused of Defrauding Investors (5/19/2021)
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/19/2021)
- Matthew Clason, Formerly of LPL Financial, Pleads Guilty to Wire Fraud (5/19/2021)
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages (5/10/2021)
- Gregory Hersch, Broker with Old City Securities, Named in Customer Dispute Seeking Over $1M in Damages (5/10/2021)
- Cenk Kozulcali, Broker with Charles Schwab, Named in Customer Dispute Seeking Over $700K in Damages (5/10/2021)
- John Lee Scott, Formerly of LPL Financial, Barred by FINRA After Refusing to Appear for Testimony (5/10/2021)
- David Michael Logsdon, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/10/2021)
- Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/10/2021)
- John Gilbert Simpson, Formerly of JP Morgan, Named in Customer Dispute Alleging Misrepresentation (5/10/2021)
- Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading (5/3/2021)
- Jonathan P. Maroney, Owner of Harbor City Capital Corp., Charged by SEC With Misappropriating Investor Funds and Operating Ponzi Scheme (4/28/2021)
- Larry Ramos Mendoza, Resident of Miami, Indicted For $21 Million Investment Fraud (4/27/2021)
- Joia Evans, Formerly of TIAA-CREF, Barred by FINRA Following Refusal to Provide Information (4/26/2021)
- David John Melilli, Formerly of Sagepoint Financial, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments (4/26/2021)
- Michael Robert Greenfield, Broker with Newbridge Securities, Named in Multiple Customer Disputes Alleging Negligence (4/26/2021)
- Brian Maguire, Formerly of Goldman Sachs, Barred by FINRA Following Allegations of Insider Trading (4/26/2021)
- Gilbert Cox, Formerly of NYLife Securities, Barred by FINRA After Refusing to Requested Information (4/26/2021)
- Steven Melen, Formerly of Morgan Stanley, Suspended by FINRA Following Failure to Disclose Rental Property (4/26/2021)
- Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements (4/19/2021)
- Daniel Poland, Broker with McNally Financial Services, Accused of Recommending GPB Capital Private Placements (4/19/2021)
- Louis Olave, Broker with Lincoln Investment, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations (4/19/2021)
- Mazair Monshi, Broker with IFP Securities, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations (4/19/2021)
- Paul Inouye, Formerly of Union Square Advisors, Suspended by FINRA Following Allegations of Failure to Disclose Two Felony Charges (4/19/2021)
- Evan Schottenstein, Formerly of JPMorgan, Banned by FINRA Following Allegations of Trading Grandmother’s Assets Without Her Knowledge (4/19/2021)
- Michael Cohn, Former CCO of GPB Capital, Sentenced to 9-Months House Arrest (4/12/2021)
- Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC (4/12/2021)
- Cubby Bice, Broker with Sagepoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations (4/12/2021)
- Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval (4/12/2021)
- Alan Price, Formerly of Edward Jones, Named in FINRA Complaint Alleging He Borrowed Money from Customers (4/12/2021)
- Raymond Velasco, Formerly of LPL Financial, Suspended by FINRA For Creating False Termination Letters (4/12/2021)
- Frank Sapareto, Formerly of Trustmont Financial, Charged in FINRA Complaint Alleging Concealment of an Outside Business Activity (4/12/2021)
- Kevin Schaefer, Broker with Wells Fargo, Accused of Recommending Unsuitable Investments (4/12/2021)
- Ignacio Erhart Del Campo, Formerly of Insigneo Securities, Suspended by FINRA Following Allegations of Trading in Deceased Client’s Account (4/12/2021)
- Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading (4/2/2021)
- Michael Cohn, Former CCO of GPB Capital, Avoids Prison Time in SEC (3/31/2021)
- David Wall, Formerly of Voya Financial, Named in Three Pending Customer Disputes Alleging Unsuitable Recommendations (3/31/2021)
- Jeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities (3/31/2021)
- Chad Mackland, Formerly of Lion Street Financial, Barred by FINRA Following Refusal to Provide Information (3/30/2021)
- Jessica Richman and Zachary Apte, Co-Founders of uBiome, Inc., Charged by SEC with Defrauding Investors Out of $60 Million (3/30/2021)
- Isaiah Goodman, Founder of MoneyVerbs, Pleads Guilty to One Count of Mail Fraud (3/23/2021)
- Federal Government Seeking 6-Month Prison Sentence for Michael Cohn, Former CCO of GPB Capital (3/22/2021)
- Efrain Trujillo, Formerly of Western International Securities, Barred by FINRA Following Allegations of Failure to Supervise (3/18/2021)
- Brian Wurdemann, Broker with RBC Capital Markets, Named in Customer Dispute Seeking $1M in Damages (3/18/2021)
- Michael Shillin, Barred Wisconsin Broker, Named in Five New Customer Disputes in February 2021 Alone (3/18/2021)
- Patrick Horsman, Formerly of Blue Sand Securities, Permitted to Resign Following Allegations of Fraud (3/18/2021)
- George Marshall Warner, Formerly of Chelsea Financial Services, Barred by FINRA For Failing to Produce Information (3/18/2021)
- Nedjeen Baptiste, Formerly of JP Morgan, Barred by FINRA Following Refusal to Produce Information (3/18/2021)
- Jason Dworak, Broker with UBS Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (3/18/2021)
- Rhett Bedwell, Formerly of LPL Financial, Barred by FINRA For Refusing to Provide Information (3/8/2021)
- Keith Simmons, Broker with Merrill Lynch, Facing Customer Dispute Seeking $1M in Damages (3/8/2021)
- Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes (3/8/2021)
- Darryl Cohen, Broker with Morgan Stanley, Facing Customer Dispute Seeking $5M in Damages (3/8/2021)
- Tamber King Proctor, Formerly of Securities America, Named in Customer Dispute Alleging Unsuitable Recommendations (3/8/2021)
- Javelin Mikol San Nicolas, Formerly of Edward Jones, Barred by FINRA After Refusing to Provide Information (3/8/2021)
- Megurditch Mike Patatian, Formerly of Western International Securities, Charged by FINRA with Unsuitable Investment Recommendations (3/8/2021)
- Elliot Smerling – Florida Fund Manager at JES Global Capital – Accused of Forging Investment Documents to Obtain $95M Loan (3/8/2021)
- David Jenson, Formerly of Great Nation Investment Corporation, Barred by FINRA Following Refusal to Produce Information (2/26/2021)
- Scott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions (2/26/2021)
- Evan Schottenstein, Formerly of JP Morgan, Accused of Abuse of Fiduciary Duty and Misrepresentation (2/26/2021)
- Avi Elliot Schottenstein, Formerly of JP Morgan, Named in $69M FINRA Judgment (2/26/2021)
- Harrison Chin Hoyes, Broker with UBS Financial, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (2/22/2021)
- Cory Davern, Broker with Valic Financial Advisors, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (2/22/2021)
- Michael Nigro, Broker with MML Investors Services, Facing Pending Customer Dispute Alleging Misrepresentation and Unsuitable Recommendations (2/22/2021)
- James Schaedler Jr., Formerly of Wells Fargo, Barred by FINRA Following Refusal to Produce Information (2/22/2021)
- Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds (2/22/2021)
- Cynthia Cowden, Formerly of NPB Financial Group, Barred by FINRA Following Allegations of Recommending Unsuitable Investments (2/22/2021)
- Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony (2/22/2021)
- Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information (2/16/2021)
- Matthew Garrett, Formerly of MML Distributors, Barred by FINRA Following Failure to Respond to Request for Information (2/16/2021)
- Daniel Levine, Formerly of Morgan Stanley, Barred by FINRA After Failing to Provide Requested Information (2/16/2021)
- Miguel Rivera Jr., Formerly of Westpark Capital, Accused of Recommending Unsuitable Investments (2/16/2021)
- Sumitro Pal, Formerly of Morgan Stanley, Facing Pending Customer Dispute Seeking $1.5 Million in Damages (2/16/2021)
- Galen Kopman, Formerly of Centaurus Financial, Facing Pending Customer Dispute Alleging He Recommended Unsuitable Investments (2/4/2021)
- Joe Franklin, Formerly of LPL Financial, Facing Pending Customer Dispute Seeking Over $150K in Damages (2/4/2021)
- Christopher Lawrence Phillips, Broker with RBC Capital, Facing Pending Customer Dispute Seeking Over $350K in Damages (2/4/2021)
- Ryan Tarjanyi, Formerly of Trustmont Financial Group, Named in FINRA Investigation Alleging Various Forms of Misconduct (2/4/2021)
- James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information (2/4/2021)
- Robyn Simons, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (2/3/2021)
- Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice (1/28/2021)
- Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request (1/27/2021)
- Michael Shillin, Formerly of Alliance Global Partners, Barred by FINRA After Refusing to Provide Documents or Information (1/27/2021)
- Former Broker Joseph Alhadeff Barred by FINRA After Refusing to Provide Information and Documents Requested (1/25/2021)
- Jose Cornide Jr., Broker with UBS Financial, Facing 8 Pending Customer Disputes Alleging Unsuitable Recommendations and Misrepresentation (1/25/2021)
- Forrest Jones, Formerly of Merrill Lynch, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/25/2021)
- Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds (1/25/2021)
- Ryan Raskin Barred by FINRA After Failing to Provide Information and Documents Requested (1/21/2021)
- David Zupek, Broker with Concorde Investments, Facing Two Pending Customer Disputes (1/15/2021)
- Barry Lemay, Broker with Concorde Investments, Facing Pending Customer Dispute Involving Suitability Claims (1/15/2021)
- Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs (1/15/2021)
- Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments (1/14/2021)
- FINRA Suspends Angel W. Bardeche Over Allegations of Unsuitable Mutual Fund Trading (1/14/2021)
- James McPherson, Formerly of Great Point Capital, Facing Pending Customer Disputes Alleging Unsuitable Investments (1/14/2021)
- Gene Esplin, Formerly of Kalos Capital and Triad Advisors, Named in Customer Dispute Seeking $1M in Damages (1/11/2021)
- Gretchen Marie Schorr, Formerly of Moloney Securities, Facing Customer Dispute Alleging Solicitation of Unsuitable Recommendations (1/11/2021)
- Jason Howell Poff, Broker with Allstate Financial, Facing FINRA Complaint Alleging Engagement in Unapproved Outside Business Activities (1/8/2021)
- Worden Capital Management LLC Consents to AWC Letter Alleging Failure to Supervise, Resulting in Excessive Trading and Unsuitable Investment Recommendations (1/8/2021)
- Joseph Hershey Pratt, Barred by FINRA in 2019, Named in Customer Dispute Seeking $232K in Damages (1/7/2021)
- Herbert Weith IV, Formerly of Wells Fargo, Facing Customer Dispute Seeking $260K in Damages (1/6/2021)
- Lanny Howarter, Broker with Crown Capital Securities, Facing Customer Dispute Claiming Over $600K in Damages (1/5/2021)
- Charles Thomas Stevens, Formerly of D.H. Hill Securities, Facing Customer Dispute Seeking $100K in Damages (1/5/2021)
- Nicholas Palumbo, Formerly of Park Avenue Securities, Under Investigation for Alleged “Selling Away” (12/21/2020)
- Rich Jackman, Broker with Crown Capital Securities, Facing $4M Customer Dispute Alleging Unsuitable Recommendations (12/21/2020)
- Gihan Anil Fernando, Broker with BOK Financial Securities, Facing $1M Customer Dispute Alleging Unsuitable Recommendations (12/17/2020)
- Tatyana Bunich, Broker with Independent Financial Group, Facing Customer Dispute Alleging Unsuitable REIT Investment (12/17/2020)
- Thomas Fross, Broker with LPL Financial, Facing Customer Dispute Alleging Unsuitable Portfolio Changes (12/17/2020)
- Merrill Lynch Pays Record $26.25M in Fines and Restitution in New Hampshire Case Involving Ex-Broker Charles E. Kenahan. (12/11/2020)
- Angelo Kafkes, Broker with Wells Fargo, Facing $100K Customer Dispute Alleging Unsuitable Recommendations (12/11/2020)
- Gregory Walter McCloskey, Formerly of Newport Coast Securities, Facing FINRA Complaint Alleging He Participated in Two Undisclosed Private Securities Transactions (12/9/2020)
- Bryan Mazliach, Formerly of Westpark Capital, Facing Allegations of Excessive and Unsuitable Trading (12/2/2020)
- Jeff LaBelle, Formerly of LPL Financial, Facing Seven Pending Customer Disputes Alleging Unsuitable Investment Recommendations (12/1/2020)
- Douglas Schmitz, Broker with Classic, LLC, Facing Customer Dispute Alleging Lack of Fiduciary Responsibility (11/25/2020)
- Gary Ginsberg, Formerly of Royal Alliance Associates, Facing Customer Dispute Involving Alternative Investment Losses (11/25/2020)
- 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)
- 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)