It has been reported that a former TD Ameritrade broker named Ralph Wood, Jr., acted as an unregistered advisor to numerous customer accounts in the[…]
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
John Anthony Vedovino (CRD#: 6113995) is a former FINRA broker and registered investment advisor. From May of 2014 to December of 2015, Mr. Vedovino was[…]
Jeffrey Robert Conklin (CRD#: 5749380) is a previously registered FINRA broker. Most recently, he was employed at the Huntington Investment Company in Cleveland, Ohio. In[…]
Atiq U. Khan (CRD#: 4727750) is a formerly registered broker and investment advisor. Most recently, this individual was employed at TransAmerica Financial Advisors in West[…]
Michael Joseph Clarke (CRD#: 1078211) is a registered FINRA broker. Currently, Mr. Clarke is employed at Avatar Capital Group in Jersey City, New Jersey. This[…]
Sean William Killoran (CRD#: 4591890) is a previously registered securities broker. From 2013 to 2016, Mr. Killoran was employed at Scotia Capital (USA) Inc. based[…]
Bradley Tennison (CRD#: 1561988) is a former broker and investment advisor. From 2005 to 2018, Mr. Tennison was employed at Geneos Wealth Management in Mesa,[…]
Shakela Carter (CRD#: 4321231) is a previously registered broker and investment advisor. From 2009 to 2016, Ms. Carter was employed at Merrill Lynch working out[…]
Edward Lee Moody (IARD# 116475) is an investment advisor based in Virginia Beach, Virginia. Most recently, Mr. Moody was associated with CM Capital Management. Notably,[…]
Kyusun (Kenny) Kim (CRD#: 2864085) is a previously registered FINRA broker. From 2016 to 2017, Mr. Kim was employed at Sandlapper Securities in San Diego,[…]