A former registered broker and investment advisor, Darrell Smith (CRD#: 1685641) was barred from the securities industry in November of 2014. Prior to his expulsion,[…]
Broker/Advisor Investigations
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.
The former host of a financial services radio show, Dawn Bennett (CRD#: 1567051) was a registered representative of Western International Securities, Inc. (CRD#: 39262) from[…]
John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in[…]
At Sonn Law Group, our securities fraud lawyers are currently investigating claims that Sheaff Brock Investment Advisors, LLC (CRD# 118739 / SEC# 801-60978) implemented unsuitable[…]
From 2011 to 2017, John-Aaron Lenhert (CRD#: 5989046) was employed as a broker and investment advisor at Morgan Stanley in Laguna Niguel, California. In January[…]
Wilfred Rodriguez Jr. (CRD#: 2504369) is a previously registered broker and investment advisor. From 2003 to 2018, Mr. Rodriguez Jr. was employed at Wells Fargo[…]
Kevin P. Smith (CRD#: 1363302) is a former broker and registered investment advisor (RIA). From 2009 to 2016, Mr. Smith was employed as a broker[…]
Edward Davig (CRD#: 841294) is an active FINRA broker. Since 2008, Mr. Davig has been employed at Packerland Brokerage Services in Holmen, Wisconsin. Prior to[…]
Arthur Coffey (CRD#: 2553466) is a registered investment broker. Since 2016, Mr. Coffey has been employed at First Standard Financial Company in Miller Place, New[…]
Dwight West (CRD#: 463778) is a registered broker. Since 2009, Mr. West has worked at UBS Financial Services in Carbondale, Colorado. Earlier this year, an[…]