Broker Investigation Blog

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)