LPL Financial is one of the largest financial services companies in the United States. The broker-dealer reports that it has more than $500 billion in[…]
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.
Ethan De Naray (CRD#: 4571532) is a registered investment advisor based in Wayzata, Minnesota. Currently, Mr. De Naray is employed as a broker at Feltl[…]
Donna Tucker (CRD#: 4696985) is a formerly registered securities broker. Most recently, Ms. Tucker was employed as an investment advisor at UBS Financial Services (2007-2013),[…]
Emil Skyba (CRD#: 426026) is a previously registered investment advisor. Most recently, Mr. Skyba was employed as a securities representative at Westport Capital Markets, based[…]
Broker Dealer Financial Services Corp. (CRD#: 8073) is a large brokerage firm headquartered in West Des Moines, Iowa. Currently, this broker-dealer is licensed to operate[…]
James Knee (CRD#: 1852920) is a previously registered securities broker. Most recently, he was employed at Vova Financial Advisors, Inc (2015-2016) in Concord, New Hampshire.[…]
David JC Bolton (CRD#: 5038018) is a previously registered securities broker who was most recently employed at Thurston, Springer, Miller, Herd & Titak, Inc (2014-2016).[…]
Charles A. Laverty (CRD#: 4875386) is a securities broker who was most recently based in Southern California. Mr. Laverty is currently suspended from the securities[…]
Matthew Evan Eckstein (CRD#: 2997245) is a registered securities broker based in Syosset, New York. Currently, Mr. Eckstein is employed at Sisk Investment Services (since[…]
Gordon Cloutier Jr. (CRD#: 2817022) is a previously registered securities broker. Most recently, Mr. Cloutier Jr. was employed at Wells Fargo Advisors, LLC, based at[…]