The customer is seeking $1.7 million in damages for Fedorko’s alleged misconduct. Joseph Michael Fedorko Jr. (CRD#: 2007317) is registered as a broker with Laidlaw[…]
Broker / Advisor Investigations
Mancini is accused of operating a fraudulent scheme to obtain money from investors. On July 20, 2021, Samuel J. Mancini was arrested in connection with[…]
Sexton was accused of making negligent misrepresentations on an economic injury disaster loan application to the Small Business Administration. Kenric Lamont Sexton (CRD#: 2937074) was[…]
Chang voluntarily resigned from Morgan Stanley following the customer dispute. Henry Chia-How Chang (CRD#: 4049732) is registered as a broker and investment adviser with Laidlaw[…]
The client alleged that Naughton’s recommendation that he invest in an REIT was unsuitable for his portfolio. Patrick William Naughton (CRD#: 2180840) is registered as[…]
The client is seeking $500k in damages for Upchurch’s alleged misconduct. Mark Allen Upchurch (CRD#: 2937074) was registered as a broker with Centaurus Financial from[…]
Paesano has been named in sixteen customer disputes that ended in a settlement. Michael Frank Paesano (CRD#: 1557229) was registered as a broker with Morgan[…]
Bowman’s unsuitable recommendations allegedly caused his customers to incur unnecessary sales charges. Gary Max Bowman (CRD#: 2035699) is registered as a broker and investment adviser[…]
Geake has been the subject of five customer complaints since 2020. David Richard Geake (CRD#: 3088891) is registered as a broker and investment adviser with[…]
Haynes is accused of recommending investments that were complex and illiquid. Jan Earl Haynes (CRD#: 833875) was registered as a broker with Integrity Brokerage Services[…]