In filings from earlier this month, the FTC revealed that fraudster Steven Dorfman, Founder and CEO of Simple Health Plans, had tens of millions of[…]
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.
Thomas Edward Sova (CRD# 431135) was a previously registered broker and investment advisor. From 2007 to 2018, Mr. Sova was a representative of Hornor, Townsend,[…]
Kirk James Bertsch (CRD# 4132889) is a previously registered broker. From 2000 to 2018, Mr. Bertsch worked for Farmers Financial Solutions in Spearfish, South Dakota.[…]
Michael Patrick Murphy (CRD#: 2596905) is currently a registered securities broker. Since 2003, Mr. Murphy has been employed at Columbus Advisory Group in New York,[…]
Edward Beyn (CRD#: 5406273) is a former FINRA broker. From September of 2015 to March of 2016, Mr. Beyn was a representative for Rothschild Lieberman[…]
Frederick McDonald Jr. (CRD#: 706872) is a registered investment advisor (RIA) and a previously registered securities broker. Currently, Mr. McDonald Jr. is the President and[…]
Steven Dorfman, Founder and CEO of Simple Health Plans, has been accused by the Federal Trade Commission (FTC) of scamming more than ten thousand people[…]
David Manor (CRD#: 6033220) is a previously registered broker and investment advisor. From August of 2016 to February of 2018, Mr. Manor served as a[…]
Amanda Justine Sarabia (CRD No. 6437164) was an associated employee at Northwestern Mutual Investment Services LLC. From 2015 to 2018, she was based at the[…]
Renee Altamirano (CRD#: 5644156) is a previously registered broker and investment adviser. From 2014 to 2018, she was a representative of LPL Financial in Hot[…]