Information about financial advisors, stockbrokers, brokerage firms, and potentially fraudulent investment schemes being investigated by our law firm.
Browse Investment Loss News Related to Brokers, Advisors, and Firms
- Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation (3/20/2023)
- SEC: Adam and Daniel Kaplan Inflated Fees, Misappropriated $5M from at Least 60 Clients (3/7/2023)
- Reza Hamid Taraz, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations (3/1/2023)
- Garrett Wayne Moretz, Broker with Lifemark Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds (2/28/2023)
- Caz Craffy Has Been Barred from the Financial Services Industry and Faces Lawsuits from Clients He Allegedly Fleeced (2/28/2023)
- Linda Jill Wimsatt, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/27/2023)
- Thomas Brian Swan, Broker with Western International Securities, Charged by SEC Under Regulation Best Interest for Recommending Unsuitable Investment Recommendations in GWG-L Bonds (2/26/2023)
- Scot Barringer, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/25/2023)
- Lauren Razar Matles, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions (2/24/2023)
- Johanna Elise Laudicina, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions (2/23/2023)
- Steven Todd Standley, Broker with D.H. Hill Securities, Named in Customer Dispute Alleging Unsuitable Losses in GWG-L Bonds (2/22/2023)
- Clark Owen, Broker with Cetera Investment Services, Named in Customer Dispute Alleging Losses in GWG-L Bonds (2/22/2023)
- Antoine Nabih Souma – Formerly of Insigneo Securities – Barred from Financial Services Industry (2/21/2023)
- Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading (2/19/2023)
- Leo Li-Yuan Chien, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (2/18/2023)
- Peter Girgis, Formerly with SW Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading (2/17/2023)
- Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (2/16/2023)
- Stephen Robert Coma, Broker with Hilltop Securities, Named in Customer Dispute Seeking $13M in Damages (2/15/2023)
- William Worthen King, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unauthorized Trading (2/14/2023)
- Shirley Ank Wong, Broker with NI Advisors, Named in Customer Disputes Alleging Failure to Supervise and Unsuitable Recommendations (2/13/2023)
- Michele McAdoo Fane, Broker with Cadaret, Grant & Co., Named in Customer Dispute Alleging Failure to Supervise (2/12/2023)
- Adam Maggio, Broker with VCS Venture Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (2/11/2023)
- Thais Drummond Piotrowski, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (2/10/2023)
- Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Barred by FINRA Following Allegations of Participating in Private Securities Transactions (2/9/2023)
- SEC Charges Ex-Advisor Joshua W. Coleman with $200M Loan Fraud Scheme (2/9/2023)
- Altin Tirana, Broker with LPL Financial, Suspended by FINRA Following Allegations of Falsifying a Representative Code (2/2/2023)
- Pawan Kumar Passi, Formerly of Morgan Stanley, Facing Customer Dispute Alleging Misrepresentation (2/1/2023)
- Michael Glenn Chandler, Broker with LPL Financial, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Overconcentration (1/31/2023)
- Jeffrey Daniel Peyser, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/30/2023)
- Michael Vincent Restagno, Broker with Aegis Capital, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/28/2023)
- Robert Leo Luley Jr., Formerly of Pruco Securities, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (1/27/2023)
- Palmery Robert Desir, Formerly of Richfield Orion International, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trades (1/26/2023)
- Steven Kiyoto Hirata, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Documents and Information (1/25/2023)
- John Nicholas Matson, Formerly of LPL Financial, Barred by FINRA Following Refusal to Provide Documents and Information (1/23/2023)
- Robert Wyla Melberth, Broker with Emerson Equity, Named in Customer Disputes Alleging Various Forms of Misconduct (1/11/2023)
- Edward Joseph Rudiger Jr., Broker with Reid & Rudiger LLC, Named in Customer Dispute Alleging Unsuitable Recommendations and Unauthorized Transactions (1/10/2023)
- Ariel Rivero, Broker with Insigneo Securities, Named in Customer Dispute Alleging Various Forms of Misconduct (1/9/2023)
- Adam Feierstein, Formerly of ProEquities, Inc., Named in Customer Disputes Following Recommendations of Unsuitable Investments (1/8/2023)
- Nicholas Michael Giallourakis, Broker with Newbridge Securities Corporation, Named in Customer Dispute Alleging Various Forms of Misconduct (1/7/2023)
- William Randall Moening, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation (1/6/2023)
- David Richard Geake, Broker with American Trust Investment Services, Facing Six Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (1/5/2023)
- Michael Jon Binstock, Broker with CreativeOne Securities, Named in Customer Disputes Alleging Broker Misconduct (1/4/2023)
- Kimberly Elizabeth Nuessmann, Formerly of Securities America, Suspended by FINRA Following Allegations of Impersonating a Deceased Client (1/3/2023)
- John Nicholas Terzis, Formerly of LPL Financial, Barred by FINRA Following Allegations of Borrowing Money From an Elderly Customer (1/2/2023)
- Andrew Fredric Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/22/2022)
- Keith Michael Dagostino, Broker with Aegis Capital, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (12/21/2022)
- John Dennis Lowry, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Failure to Disclose Arbitration Filings and Resolutions (12/20/2022)
- Howard Hao-Chung Hsieh, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Recommendations and Breach of Fiduciary Duty (12/18/2022)
- Michael Murray Knittel, Formerly of Fortune Financial Services, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction Without Firm Approval (12/17/2022)
- Adam Tucker Boyce, Broker with Citizens Securities, Named in Customer Disputes Alleging Misrepresentation (12/16/2022)
- Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations (12/15/2022)
- Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations (12/14/2022)
- Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct (12/8/2022)
- Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/7/2022)
- Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest (12/7/2022)
- Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification (12/6/2022)
- Dennis Stephen Oleszkowicz, Broker with UBS Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct (12/6/2022)
- Scott Erik Aabel, Broker with Spire Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds (12/5/2022)
- Dana Bruce Vietor, Formerly of CFD Investments, Named in Customer Disputes Alleging Breach of Fiduciary Duty, Unsuitability, and Other Misconduct (12/4/2022)
- Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/3/2022)
- Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (12/2/2022)
- Lawrence Merl, Formerly of David Lerner Associates, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (12/1/2022)
- Todd Michael Venturino, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading (11/30/2022)
- Todd Michael Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation and Unsuitability (11/29/2022)
- Dusty Lynn Sternadel, Formerly of Ameriprise Financial Services, Barred by FINRA Following Failure to Respond to Appear for Testimony (11/28/2022)
- Ex-JPMorgan Broker Edward Turley Barred by from Financial Services Industry (11/23/2022)
- Michael William Mandarino, Broker with G.A. Repple & Company, Named in Customer Dispute Alleging Unsuitable Recommendations of GWG Holdings Bonds (11/17/2022)
- Pamela Denise Lawson, Formerly of Lawson Financial Corporation, Suspended by FINRA Following Failure to Comply with Arbitration Award (11/16/2022)
- Amanda Yvonne Berry, Formerly of MML Investors, Barred by FINRA Following Failure to Respond to Request for Information (11/15/2022)
- David Del Rio, Formerly of LPL Financial, Barred by FINRA Following Failure to Respond to Request for Information (11/14/2022)
- Robert Charles Mehlin, Formerly of Coastal Equities, Suspended by FINRA Following Allegations of Unauthorized Trading (11/13/2022)
- David Lyle Bahnsen, Formerly of Hightower Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (11/12/2022)
- William Patrick Gamble, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unauthorized Trades (11/11/2022)
- Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds (11/9/2022)
- John Anthony Sommo, Formerly of UBS Financial Services, Barred by FINRA Following Refusal to Respond to FINRA Requests for Information (11/9/2022)
- Charles Vincent Malico, Formerly of Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/8/2022)
- Morgan Darby Hill, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (11/6/2022)
- Sean Sullivan, Broker with Sovereign Global Advisors, Named in Customer Dispute Alleging Unauthorized Trading (11/5/2022)
- Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Allegations of Excessive Trading (11/4/2022)
- Dennis David Karjala, Formerly of LPL Financial, Suspended by FINRA Following Allegations of Providing a Guarantee Against Losses (11/3/2022)
- Robert Morgan Vance, Broker with Moloney Securities Co., Named in Customer Disputes Alleging Unsuitable Recommendations and Negligence (10/30/2022)
- Cheryl Lynn Young, Broker with Rockefeller Financial, Named in Customer Dispute Alleging Unsuitable Recommendations (10/29/2022)
- Christopher Thomas Fusco, Formerly of Joseph Stone Capital, Named in Customer Dispute Alleging Unsuitable Recommendations and Excessive Trading (10/28/2022)
- David Khezri, Formerly of Network 1 Financial Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations (10/27/2022)
- Peter Kyung Hoon Rhee, Broker with Cetera Advisors, Facing Customer Disputes Alleging Unsuitable Investment Recommendations and Negligence (10/26/2022)
- Anthony Joseph Manougian, Broker with Oppenheimer & Co., Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Other Forms of Misconduct (10/25/2022)
- Peter James Fetherson, Formerly of Aegis Capital, Charged by FINRA with Converting Customer Funds (10/24/2022)
- Richard Foerster Reynolds, Formerly of SW Financial, Facing Customer Dispute Alleging Churning, Unauthorized Trading, and Fraud (10/23/2022)
- Matthew Gates, Broker with VCS Venture Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Excessive Trading (10/22/2022)
- Anthony John Pitta, Broker with Capital Investment Group, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/16/2022)
- Kenneth James New, Broker with Center Street Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (10/15/2022)
- Joseph Albert Ambrosole, Formerly of Joseph Stone Capital, Barred by FINRA After Allegations of Unsuitable Trading (10/14/2022)
- Gregory William Melendez, Broker with Laidlaw & Company, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/13/2022)
- Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct (10/12/2022)
- Brian Charles Kennedy, Broker with Cambridge Investment Research, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (10/11/2022)
- Jon Paul Cirelli, Broker with Coastal Equities, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violations of Securities Laws (10/10/2022)
- Jon Raymond Lee, Broker with AAG Capital, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/9/2022)
- Paul Wesley Witthauer, Broker with G.A. Repple & Company, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings (10/8/2022)
- Bradley Allen Goodbred, Formerly of LPL Financial, Charged by SEC with Stealing from an Elderly Investor (10/6/2022)
- David Sheldon Wells, Formerly of Fifth Third Securities, Charged by SEC with Misappropriating Clients’ Funds (10/4/2022)
- Patrick Cody, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unsuitable Investments, Among Other Misconduct (10/2/2022)
- James Parascandola, Broker with Pruco Securities, Named in Customer Dispute Alleging Excessive Trading (9/30/2022)
- Charles Frederik Lek, Broker with Lek Securities Corporation, Named in FINRA Complaint Alleging Failure to Supervise (9/29/2022)
- Jimmy Yang Driggers, Formerly of Morgan Stanley, Named in Pending Customer Dispute Seeking $4M in Damages (9/28/2022)
- Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments (9/26/2022)
- Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments. (9/25/2022)
- James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award (9/24/2022)
- Jeffrey Daniel Basford, Formerly of David Lerner Associates, Barred by FINRA Following Refusal to Appear for Testimony (9/23/2022)
- John Hillman Timberlake, Formerly of Carter, Terry & Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments and Unauthorized Trades (9/22/2022)
- Mark Alan Cline, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Alleging Sale of Unsuitable Investments in GWG Holdings (9/21/2022)
- Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts (9/20/2022)
- Daniel Minich, Formerly of Ameriprise Financial Services, Suspended by FINRA Following Participation in Private Securities Transactions (9/19/2022)
- Ashley Marie Bolson, Formerly of CFD Investments, Named in Customer Dispute Alleging Fraud, Negligent Misrepresentation, and Violations of the Iowa Securities Act (9/3/2022)
- Herman Laibe Kahn, Formerly of Kestra Investment Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitable Investment Recommendations (9/2/2022)
- David Scott Mirolli, Broker with Kalos Capital, Named in Multiple Customer Disputes Alleging Recommendation of Unsuitable Investments (9/1/2022)
- Joseph Patrick Roop, Formerly of Dempsey Lord Smith, Named in Customer Dispute Alleging Improper Recommendations and Suitability Issues (8/31/2022)
- Stephen Yauman Kwan, Broker with Madison Avenue Securities, Facing Customer Disputes Alleging Unsuitable Recommendation of GPB Capital Investments (8/30/2022)
- Jeffrey Adam Miller, Broker with UBS Financial Services, Facing Customer Dispute Alleging Unsuitable Concentration in Gold and Silver (8/29/2022)
- John Sebastion Cangialosi, Formerly of SW Financial, Named in Customer Dispute Alleging Churning and Unauthorized Trading, Among Other Misconduct (8/28/2022)
- Thomas Wilson Murray, Broker with Wells Fargo, Facing Customer Dispute Alleging He Solicited an Outside Investment Opportunity Unauthorized by His Firm (8/27/2022)
- Edward Turley, JP Morgan Face $56M Claim Alleging Misrepresentation and Unsuitable Trading (8/26/2022)
- Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley? (8/26/2022)
- Michael James Petyak, Broker with Calton & Associates, Facing Customer Dispute Alleging Lack of Diversification (8/25/2022)
- Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct (8/24/2022)
- Richard Noel Fredette, Formerly of Cantella & Company, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/23/2022)
- Seth Barnes Stewart, Formerly of Center Street Securities, Named in Customer Disputes Unsuitable Investment Recommendations (8/20/2022)
- Scott Jay Matalon, Formerly of RBC Capital Markets, Named in Customer Dispute Alleging Negligence (8/19/2022)
- Thomas Paul Tibaldi, Broker with Citigroup Global Markets, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (8/18/2022)
- Joseph Ijong Chu, Broker with RBC Capital Markets, Facing Customer Disputes Alleging Unsuitable Concentration of Certain Investments (8/17/2022)
- Alpine Securities, Former CEO and Current CEO Charged by SEC with Engaging in Unauthorized Securities Transactions (8/16/2022)
- Manish Saini, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction (8/15/2022)
- William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/14/2022)
- Lawrence William Catena, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/13/2022)
- Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations (8/11/2022)
- Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures (8/10/2022)
- Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud (8/9/2022)
- Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony (8/8/2022)
- Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products (8/7/2022)
- James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/6/2022)
- Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments (8/5/2022)
- Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence (8/4/2022)
- Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment (8/3/2022)
- Jiaqi Chen, Broker with Cetera Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (8/2/2022)
- Jennifer Marcontell, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Failure to Follow Instructions (8/1/2022)
- Jason Paul Collichio, Broker with Landolt Securities, Facing Customer Disputes Alleging Unsuitable Investment Recommendations (7/29/2022)
- Christopher Michael Setaro, Broker with NPM Securities, Facing Customer Dispute Alleging Failure to Supervise (7/29/2022)
- Francis Joseph Velten, Formerly of Ameriprise Financial Services, Named in FINRA Complaint Alleging Failure to Respond (7/26/2022)
- Adam Thomas Marquardt, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Testimony (7/25/2022)
- Chad Ryan Barancyk, Formerly of First Allied Securities, Suspended by FINRA Following Failure to Respond to Requests for Information (7/23/2022)
- Vincent Anthony Virga, Formerly of Madison Avenue Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable Alternative Investments (7/22/2022)
- Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation (7/21/2022)
- Mark Smith, Formerly of Transamerica Financial Advisors, Barred by FINRA Following Refusal to Appear for Testimony (7/20/2022)
- Sonn Law Investigating Financial Advisors Christian Deberadinis and Gianluca Deberardinis (7/20/2022)
- Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/19/2022)
- Dylan Casey Hales, Broker with Edward Jones, Named in Customer Dispute Alleging False and Misleading Information (7/18/2022)
- David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds (7/17/2022)
- Michael Alejandro Castillero, Formerly of Windsor Street Capital, Charged by SEC with Operating Ponzi-like Scheme (7/16/2022)
- Jeffrey Brian Forehand, Broker with First Allied Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable, High-Risk Investments (7/15/2022)
- Todd Dwain Gauthier, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/14/2022)
- Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (7/13/2022)
- Kenneth David Blumberg, Broker with Stifel Nicolaus & Company, Named in Customer Dispute Alleging Recommendations of Unsuitable Investments (7/12/2022)
- Thomas James Baumann, Formerly of Spartan Capital Securities, Under Investigation by FINRA Following Allegations of Churning (7/11/2022)
- Craig Lee Carson, Broker with Intervest International Equities Corporation, Ordered by SEC to Cease and Desist Following Allegations of Breaching Fiduciary Duty (7/10/2022)
- Ann Louise Werts, Broker with Madison Avenue Securities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (7/9/2022)
- Eric Shea Hollifield, Formerly of LPL Financial, Charged by SEC with Misappropriating Over $1.7M (7/6/2022)
- Penny Gail Flippen, Formerly of H.D. Vest Investment Services, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)
- Britt Franklin Wright, Formerly of Edward Jones, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme (7/6/2022)
- Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision (6/10/2022)
- Xiangyu Yu Zhang, Formerly of Wells Fargo, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (6/7/2022)
- Eric Edward Nicolassy, Broker with Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (6/6/2022)
- David Randall Lehnertz, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (6/5/2022)
- Marc Frederick Korsch, Formerly of Centaurus Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations of GWG L Bonds (6/1/2022)
- Tobin Carl Hoffmann, Broker with Ameritas Investment Company, Facing Customer Dispute Alleging Misrepresentation Regarding an Investment (5/30/2022)
- Randall John Mason, Broker with Cetera Advisors, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/29/2022)
- Glen Mackenzie Dowden, Broker with Citizens Securities, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment (5/28/2022)
- Steve Jeffrey Cummings, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/27/2022)
- Arthur Grossbard, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/26/2022)
- Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/23/2022)
- Kennister Ulesley Daley, Broker with Allstate Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/22/2022)
- Virgil Arthur Biggs, Broker with Avantax Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/21/2022)
- Lawrence Merl, Broker with David Lerner Associates, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments (5/20/2022)
- Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty (5/19/2022)
- John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated (5/18/2022)
- Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/17/2022)
- Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (5/16/2022)
- Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud (5/15/2022)
- Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements (5/14/2022)
- Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/13/2022)
- Daniel Arthur Evans, Broker with Wells Fargo, Facing Customer Dispute Alleging Unsuitable Investment Recommendations (5/12/2022)
- Neal Edwin Nakagiri, Formerly of NPB Financial Group, Facing Customer Disputes Alleging Negligence, Unauthorized Trading, and Other Misconduct (5/11/2022)
- Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses (5/10/2022)
- Vincent Bernard Mastrovito, Formerly of J.W. Cole Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations (5/9/2022)
- Joseph Langlois, Broker with DFPG Investments, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (5/8/2022)
- Michael Walter Mandel, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Participated in a Private Securities Transaction Without Approval (5/7/2022)
- Andrew Bruce Elsoffer, Formerly of Stifel, Nicolaus & Company, Suspended by FINRA Following Allegations of Unauthorized Trading (5/6/2022)
- Bentley Edward Blackmon, Formerly of Stephens, Suspended Following Allegations of Participation in Private Securities Transactions Without Notice (5/5/2022)
- Arkady Ginsburg, Broker with Aegis Capital, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading (5/4/2022)
- SEC Charges Morgan Stanley Broker Shawn E. Good with Defrauding Clients in Ponzi Scheme (4/27/2022)
- Andrew Perry Hess, Formerly of Ameriprise Financial Services, Facing Pending Customer Dispute Alleging Failure to Diversify Portfolio (4/26/2022)
- Richard Guy Duncan, Formerly of Ausdal Financial Partners, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments (4/25/2022)
- Shad Ray Ketcher, Broker with J.W. Cole Financial, Facing Pending Customer Dispute Alleging Unsuitable Recommendations (4/24/2022)
- Carlos A. Estima, Broker with Insigneo Securities, Facing Pending Customer Dispute Alleging Investment Losses (4/23/2022)
- Paul William Murphy, Broker with Calton & Associates, Facing Pending Customer Disputes Alleging Various Forms of Misconduct (4/22/2022)
- Allan G. Snider, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (4/21/2022)
- Robert C. David, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations David Falsified Customers’ Account Profile Information (4/13/2022)
- John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information (4/12/2022)
- Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds (4/11/2022)
- Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts (4/7/2022)
- Vincent Leonard Petrangelo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Supervise (4/6/2022)
- Jorge Luis Alfonso, Formerly with Snowden Account Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (4/5/2022)
- Lance Colby Watson, Broker with Dominion Investor Services, Named in Customer Dispute Alleging Losses in Customer Accounts (4/4/2022)
- John Todd Davis, Broker with Edward Jones, Named in Customer Dispute Alleging Failure to Follow Instructions (4/4/2022)
- John Dalton Phillips, Formerly with MetLife Securities, Named in Customer Dispute Alleging Misrepresentations and Omissions (4/3/2022)
- Kevin Marshall McCallum, Formerly with LPL Financial, Named in Customer Dispute Alleging Overconcentration of Investments (4/2/2022)
- Joshua Nathan Helmle, Formerly with Integrity Brokerage, Named in Customer Dispute Alleging Failure to Satisfy Supervisory Duties (4/1/2022)
- Mitchell Howard Hirsch, Broker with Fortune Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty (3/31/2022)
- Roy Daniel Budd, Broker with Morgan Stanley, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/30/2022)
- Chadwick Collins, Broker with Wedbush Securities, Named in Multiple Customer Disputes Alleging Misconduct in Handling Customers’ Accounts (3/20/2022)
- Edmund Paul Murphy, Formerly of Robert W. Baird & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/19/2022)
- Faith Read Xenos, Broker with MSEC, LLC, Named in Customer Dispute Alleging Overconcentration in Customers’ Accounts (3/18/2022)
- Dustin Chase, Broker with JP Morgan, Named in Customer Dispute Alleging He Conspired With A Third Party to Change A Beneficiary (3/17/2022)
- David Sanford Wolfe, Broker with Aaron Capital, Named in Customer Dispute Alleging The Mishandling of An Account (3/16/2022)
- Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information (3/15/2022)
- Derek Christopher Roy, Broker with Fidelity Brokerage Services, Named in Customer Dispute Alleging He Withheld Material Information (3/14/2022)
- George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades (3/13/2022)
- Jason Leonard Garofalo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/12/2022)
- Gerald James Ohalloran, Broker with Union Capital Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments (3/11/2022)
- Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit Alleging LPL Financial’s Responsibility for Misappropriation of Funds (3/8/2022)
- Dale Edward Wright, Formerly of Cambridge Investment Research, Placed on Probation by Virginia State Corporation Commission (3/4/2022)
- Nicholas John Kraiko, Formerly of National Securities Corporation, Barred by FINRA Following Refusal to Respond to Requests for Information (3/2/2022)
- Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (2/28/2022)
- Peter Joseph Klein, Broker with Hightower Securities, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (2/26/2022)
- Joseph Francis Valdini, Formerly of Aegis Capital, Named in Customer Dispute Alleging Churning (2/24/2022)
- Craig Jay Sherman, Formerly of Wynston Hill Capital, Suspended by FINRA Following Allegations of Failure to Supervise (2/22/2022)
- Robert Jonathan Spencer, Formerly of Cetera Advisor Networks, Barred by FINRA Following Refusal to Produce Documents and Information (2/20/2022)
- Christopher Edward Bond, Broker with National Securities Corporation, Suspended by FINRA Following Allegations of Unauthorized Trading (2/18/2022)
- Howell Gregory Ferguson, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Forged a Client’s Signature (2/15/2022)
- Paul Richard McGonigle, Formerly of LPL Financial, Indicted on Fraud and Money Laundering Charges (2/15/2022)
- Dennis Phillip Ayre, Formerly of Hilltop Securities, Barred by FINRA Following Refusal to Appear for Testimony (2/14/2022)
- Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading (2/12/2022)
- Darryl Cohen, Formerly of Morgan Stanley, Facing Multiple Pending Customer Disputes Alleging Misrepresentation (2/8/2022)
- Ronald Scott Bright, Formerly of Edward Jones, Suspended by FINRA Following Allegations of Unauthorized Transactions (2/7/2022)
- Mark Lee Elafros, Broker with Charles Schwab, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (2/1/2022)
- Dinu Marian Tise, Formerly of Ameriprise Financial, Suspended By FINRA Following Allegations of Unethical Actions (2/1/2022)
- Joel Paul Kichline, Broker with Stifel Nicolaus & Company, Fined by FINRA Following Allegations of Unauthorized Trading (1/31/2022)
- Scott Michael Bremus, Formerly of LPL Financial, Discharged Following Allegations of Facilitating Private Securities Transactions Without Approval (1/30/2022)
- Michael John Wagner, Broker with Morgan Stanley, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations and Misrepresentation (1/29/2022)
- Joshua David Nicholas, Formerly of Merrill Lynch, Barred by FINRA Following Allegations of Converting Customer Funds (1/29/2022)
- David Norman Adams, Broker with Ameriprise Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/28/2022)
- John Frank Donoso, Broker with Newbridge Securities Corporation, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/27/2022)
- SEC Accuses German Nino – Weston Florida Financial Advisor – of $5.8 million Theft (1/27/2022)
- Travis Jerome Hughes, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/26/2022)
- Ping Shuang Cathy Wu, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations (1/25/2022)
- Nathan Paul Macdonald, Broker with Cetera Advisors, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/24/2022)
- Frank Lucien Van Houten, Formerly of LPL Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (1/23/2022)
- Eric Shea Hollifield, Formerly of LPL Financial, Barred by FINRA Following Refusal to Appear for Testimony (1/22/2022)
- William Nicholas Athas, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Trading and Breach of Fiduciary Duty (1/21/2022)
- Steven Michael Richardson, Broker with LPL Financial, Named in Customer Dispute Alleging Excessive Trading (1/20/2022)
- Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/20/2022)
- Roderick K Von Lipsey, Broker with UBS Financial, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation (1/20/2022)
- Kirk Edward Pickell, Broker with Janney Montgomery Scott, Facing Pending Customer Dispute Alleging Unsuitable Investments (1/20/2022)
- Jeffrey Daniel Basford, Broker with David Lerner Associates, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation (1/20/2022)
- David John Volpe, Formerly of LPL Financial, Named in Customer Dispute Alleging Conversion of Client Funds (1/20/2022)
- Peter Werner David, Formerly of Woodbury Financial, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations (1/20/2022)
- Sean Donovan Casterline, Broker with Delta Securities, Suspended by FINRA Following Allegations of Participation in Private Securities Transactions (1/20/2022)
- David Robert Kennon, Formerly of First Allied Securities, Facing Pending Customer Disputes Alleging Various Misconduct (1/20/2022)
- Michael Shillin Permanently Barred by SEC Following Allegations He Defrauded Over 100 Clients (1/20/2022)
- Andrew James Pravlik, Broker with Coastal Equities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (1/10/2022)
- John Quinn, Formerly of Valic Financial Advisors, Suspended by FINRA Following Allegations of Participating in Private Securities Transactions Without Approval (12/31/2021)
- Dennis Daniel Herrera, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/31/2021)
- Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise (12/31/2021)
- Nicholas Fougler Taggart, Broker with IMST Distributors, Named in Customer Dispute Alleging Unsuitable Alternative Investment Recommendations (12/31/2021)
- Brian Michael Jackson, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations (12/31/2021)
- Mark Sam Kolta, Formerly of Worden Capital Management, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/31/2021)
- Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations (12/28/2021)
- Paul Michael Fiacable, Formerly of JP Morgan, Facing Pending Customer Dispute Alleging Breach of Fiduciary Duty and Misappropriation of Funds (12/28/2021)
- Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct (12/28/2021)
- Daniel Lawrence Pimental, Formerly of Wells Fargo, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations (12/28/2021)
- Devin Wicker, Formerly of JVB Financial Group, Barred by FINRA Following Allegations of Converting Customer Funds (12/28/2021)
- Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Failure to Disclose Outstanding Federal Liens (12/21/2021)
- James Lee Greene, Broker with B. Riley Wealth Management, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations (12/20/2021)
- Antonio Almeida, Formerly of Worden Capital Management, Suspended by FINRA Following Failure to Disclose a Felony Charge (12/20/2021)
- Shay W. Scruggs, Broker for Rockefeller Financial, Facing Pending Customer Dispute Alleging Unsuitable Investments (12/20/2021)
- Kenneth Anthony Luccioni, Formerly of Triad Advisors, Facing Three Pending Customer Disputes Alleging Unsuitable Investments (12/20/2021)
- James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/12/2021)
- Daniel Lee Holman, Formerly of Cambridge Investment Research, Named in Customer Dispute Alleging Misrepresentation of Unsuitable Products (12/10/2021)
- Frederick Mark Atiyeh, Broker with Crown Capital Securities, Facing Customer Disputes Alleging Overconcentration and Unsuitable Recommendations (12/10/2021)
- James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes (12/10/2021)
- Roland Terrence Molo, Formerly of Edward Jones, Suspended by FINRA Following Failure to Respond to Requests for Information (12/10/2021)
- Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information (12/4/2021)
- Joseph Michael Giordano, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/3/2021)
- Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise (12/2/2021)
- Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information (12/1/2021)
- William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions (11/30/2021)
- Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments (11/29/2021)
- David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades (11/18/2021)
- Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA (11/18/2021)
- Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records (11/18/2021)
- Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading (11/18/2021)
- Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities (11/18/2021)