Jeffery Joseph Kelly (CRD#: 3223982) worked as a securities broker at Ameriprise Financial Services in Getzville, New York from 2006 to 2017. Late last year,[…]
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.
Luke A. Eddy (CRD#: 6364037) was employed as a securities broker at Merrill Lynch in Worcester, Massachusetts from 2014 to 2017. In May of 2017,[…]
Richard S. Hughes (CRD#: 1537720) was registered as a broker for more than 30 years. Most recently, Mr. Hughes worked at Summit Brokerage Services in[…]
Timothy Ayre (CRD#: 2091556) was a registered securities broker for more than 25 years. Most recently, Mr. Ayre was employed at Four Points Capital Partners[…]
On September 7th, 2018, the Securities and Exchange Commission (SEC) charged Emil Botvinnik (CRD#: 4359481) and Jovannie Aquino (CRD#: 4876661) with securities fraud. The charges,[…]
Jerry Davis Raines (CRD#: 4578689) was a registered broker at HD Vest Investment Services from 2014 to 2017. Similarly, Donna Lynn Barnard (CRD#: 5653949) also[…]
Edward O. Daniel (CRD#: 808225) was a registered broker and investment advisor from 1975 to 2016. Most recently, Mr. Daniel was employed with Wells Fargo[…]
Benjamin S. Johnson (CRD#: 5742748) was registered as a broker with FINRA from 2010 to 2017. Most recently, Mr. Johnson was employed at J.P. Morgan[…]
Mark Charles Cohen (CRD#: 4534879) is a former broker and investment advisor. From 2014 to 2018, Mr. Cohen was associated with BCG Securities, Inc. in[…]
Juergen Weber (CRD#: 2617323) is a previously registered broker and investment advisor. From 2011 to 2018, Mr. Weber was employed at Benjamin & Jerold Brokerage[…]