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

• MJ Capital Board Member Gets 9 Yrs For $190M Ponzi Scheme (9/21/2023)
• SEC Charges Financial Professional with Insider Trading in His Company’s Securities (9/19/2023)
• SEC Charges Florida Resident and Resident’s Two Companies for Operating as Unregistered Broker-Dealers (9/19/2023)
• SEC Charges Texas CBD-Inhaler Company and Its CEO in Fraudulent Securities Offerings (9/19/2023)
• SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official (9/19/2023)
• SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule (9/19/2023)
• SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction (9/18/2023)
• SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking (9/15/2023)
• SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs (9/15/2023)
• SEC Charges Nuclear Battery Startup Company and Its CEO with Fraudulently Raising Over $1.2 Million from Investors (9/15/2023)
• SEC Charges Minnesota Based Company and Founder in Alleged Fraudulent Securities Offering (9/15/2023)
• Merriah Harkins Subject of an SEC Investigation into Her Involvement with GWG L Bonds (9/13/2023)
• SEC Bars James Anglim (9/13/2023)
• SEC Charges Fluor Corp. for Accounting Improprieties (9/12/2023)
• Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities (9/12/2023)
• SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules (9/12/2023)
• SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers (9/12/2023)
• SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies (9/12/2023)
• SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors (9/12/2023)
• SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers (9/12/2023)
• SEC Obtains Judgments Totaling More Than $20 Million Against Microcap Company and Related Entity in Fraud Action (9/12/2023)
• The U.S. Securities and Exchange Commission (SEC) Charges China-Based Big Data Analytics Company (9/12/2023)
• The Securities and Exchange Commission (SEC) Obtains Preliminary Injunction and Asset Freeze Against Florida Resident Involved in Ponzi Scheme Targeting Religious Community (9/12/2023)
• The U.S. Securities and Exchange Commission (SEC) Secures Final Judgment Against Canadian Individual in Microcap Fraud Scheme (9/12/2023)
• SEC Charges North Carolina Man and Entities He Controlled with Fraud (9/12/2023)
• SEC Files Settled Fraud Charges Against Los Angeles-Based “Smart Ring” Company and Its Principal (9/12/2023)
• SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers (9/12/2023)
• SEC Charges Five Advisory Firms for Custody Rule Violations (9/6/2023)
• SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate (9/6/2023)
• SEC Charges Internet Message Board User in Alleged Market Manipulation Scheme (9/6/2023)
• SEC Charges North Carolina Man in Fraudulent “Free-Riding” Scheme (8/31/2023)
• SEC Charges Recidivist and Others in Real Estate Offering Fraud (8/31/2023)
• SEC Charges Accountant for Aiding and Abetting a $110 Million Ponzi Scheme and Orchestrating a Separate Fraudulent Scheme (8/31/2023)
• SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses (8/29/2023)
• SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports (8/29/2023)
• SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs (8/29/2023)
• SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary (8/25/2023)
• SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel (8/24/2023)
• SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading (8/23/2023)
• SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations (8/22/2023)
• SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction (8/16/2023)
• SEC Sues Alleged Perpetrators of Fraudulent Multi-Level Marketing Scheme and Unregistered Offering (8/15/2023)
• SEC Obtains Nearly Nine Million Dollar Final Judgment Against Vika Ventures LLC (8/14/2023)
• Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations (8/11/2023)
• Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency (8/10/2023)
• SEC Charges Investment Advisory Firm and Firm’s Owner for Breaching Fiduciary Duties to Clients (8/9/2023)
• SEC Charges Former Hedge Fund Managing Director with Fraud (8/8/2023)
• SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures (8/8/2023)
• SEC Charges Recidivist and Others in Offering Fraud Scheme (8/7/2023)
• SEC Obtains Consent Judgment Against Celebrity Charged with Illegally Touting Crypto Asset Securities for Crypto Entrepreneur Justin Sun (8/7/2023)
• Fund Administrator Charged For Missing Red Flags (8/7/2023)
• SEC Charges Electric Vehicle Company and Former CEO and CFO for Misconduct Related to Spac Transaction (8/4/2023)
• SEC Charges Massachusetts Resident with $1.2 Million Offering Fraud and Ponzi Scheme (8/3/2023)
• SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants (8/3/2023)
• SEC Charges Owners of Broker-Dealer with Aiding and Abetting Violations of Net Capital Requirements (8/2/2023)
• SEC Charges Florida Resident in Connection with Ponzi Scheme Targeting Religious Community (8/2/2023)
• SEC Charges Florida Investment Adviser a Second Time for Insider Trading (8/2/2023)
• SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder (8/1/2023)
• SEC Charges Unregistered Broker for Unlawful Sales of Securities to Retail Investor (7/31/2023)
• SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion (7/31/2023)
• SEC Charges New York Registered Representative with Fraud (7/28/2023)
• SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members (7/27/2023)
• SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading (7/26/2023)
• SEC Files Subpoena Enforcement Action Against Real Estate Broker (7/25/2023)
• SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors (7/24/2023)
• SEC Charges North Carolina Resident for Conducting Fraudulent and Unregistered Offerings of Crypto Asset Securities (7/22/2023)
• SEC Obtains Final Judgments Against Two Oregon Residents and Their Related Entities for Operating a $10 Million Ponzi-Like Scheme (7/21/2023)
• SEC Obtains Final Judgment Against Operator of Multi-Million Dollar Ponzi Scheme (7/20/2023)
• SEC Charges Virginia Man in Fraudulent “Free-Riding” Scheme (7/19/2023)
• SEC Charges Legendary Partners, LLC and its President with Reality TV Offering Fraud Targeting Mostly Elderly Investors (7/18/2023)
• SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities (7/14/2023)
• SEC Charges Former Florida Brokerage Representative with Defrauding Senior and Disabled Customers (7/14/2023)
• SEC Charges Additional Frank Executive with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company (7/14/2023)
• New Hampshire Issuer of Crypto Asset Securities That Violated Registration Requirements Enjoined and Ordered to Pay Penalty (7/13/2023)
• SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange (7/12/2023)
• SEC Seeks to Halt North Carolina-Based Ponzi Scheme (7/12/2023)
• SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports (7/11/2023)
• SEC Obtains Final Judgments Against Former Public Company Chairman and Two Others in Fraudulent Filings and Pump-And-Dump Scheme (7/8/2023)
• SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members (7/7/2023)
• SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability (7/6/2023)
• SEC Brings Emergency Action related to Spartan Trading Company, LLC (7/5/2023)
• SEC Obtains Final Judgments Against Operators of Fake Trading Scheme Known as “EmpiresX” (7/4/2023)
• SEC Charges Former CFO of “Smart” Window Manufacturer, View Inc., for Failure to Disclose Company’s $28 Million Liability (7/3/2023)
• SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme (6/30/2023)
• SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement (6/29/2023)
• SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities (6/29/2023)
• SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud (6/28/2023)
• SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer (6/27/2023)
• Coral Springs man charged in $100 million ponzi scheme (6/27/2023)
• SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community (6/27/2023)
• SEC Charges Former Georgia Investment Adviser in Multipart Offering Fraud (6/23/2023)
• SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud (6/23/2023)
• SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme (6/23/2023)
• SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies (6/22/2023)
• SEC Charges Infinity Q Investment Adviser with Fraud; Seeks Monitor to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Private Fund (6/21/2023)
• SEC Charges Convertible Note Dealer and Its Owner for Failure to Register (6/20/2023)
• SEC Charges Microcap Company, Its CEO, and Former Consultant with Fraud and Registration Violations (6/19/2023)
• SEC Charges PIMCO for Disclosure and Policies and Procedures Failures (6/16/2023)
• SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor (6/15/2023)
• SEC Charges Two Individuals in Connection with Fraudulent Scheme to Illegally Sell Stock to the Public (6/14/2023)
• SEC Charges Pennsylvania Man in $30 Million Offering Fraud (6/14/2023)
• A Dealer Who Called Out the Art World’s Lack of Due Diligence Is Himself a Victim of Lisa Schiff’s Alleged Ponzi Scheme (6/13/2023)
• Umpqua Bank Hit with a Second, Multi-Million Dollar Lawsuit Over Alleged Role in Ponzi Scheme (6/13/2023)
• Federal judge certifies class action lawsuit against Eli Lilly (6/12/2023)
• SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme (6/12/2023)
• SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency (6/9/2023)
• SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses (6/8/2023)
• This Bay Area bank ignored $350 million Ponzi scheme despite ‘obvious’ fraud, lawsuit (6/7/2023)
• The class action lawsuit claims that Chase Bank denies reimbursements for Zelle fraud incidents (6/6/2023)
• SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao (6/5/2023)
• SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers (6/1/2023)
• SEC Charges Repeat Securities Law Violator with New Offering Fraud (6/1/2023)
• SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme (6/1/2023)
• Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric (5/31/2023)
• Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities (5/30/2023)
• SEC Charges Additional Social Media Influencer in Stock Manipulation Scheme (5/26/2023)
• SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud (5/23/2023)
• Class Action Lawsuit Has Been Filed Against Charles River Laboratories International, Inc (5/22/2023)
• Jury Finds Deutsche Bank Liable for $95 Million in International Ponzi Scheme Suit (5/19/2023)
• SEC Obtains Final Judgments Against New York Investment Adviser and Others for Defrauding Investors in a Multi-Million Dollar Ponzi Scheme (5/18/2023)
• SEC Charges Microcap Company and Its Executives with Fraud (5/15/2023)
• SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts (5/15/2023)
• Utah Legislature Poised to Approve Settlement in Federal Grant Misuse Lawsuit (5/12/2023)
• TD Bank Resolves $1.2 Billion Lawsuit Tied to Allen Stanford’s Ponzi Scheme (5/12/2023)
• Deadline nears for Michigan workers to join $20M unemployment fraud settlement (5/11/2023)
• SEC Files Emergency Lawsuit Alleging Fraudulent Offering in Clean Energy Technology Association Case (5/10/2023)
• Wells Fargo Faces Class Action Lawsuit Alleging Assistance to Scam-Running Companies (5/9/2023)
• SEC Charges Florida Resident with Operating $5.9 Million Ponzi Scheme Targeting African-American Community (5/8/2023)
• SEC Alleges Son and Father-In-Law Touted Faith to Target Church Members in $20 Million Offering Fraud (5/4/2023)
• Stanley Black & Decker Faces Securities Class Action Lawsuit for Alleged Violations of Federal Securities Laws (5/2/2023)
• Lawsuit Filed Against Medical Properties Trust (MPW) for Deceptive Practices and Misrepresentation of Financial State (5/1/2023)
• Class Action Lawsuit Filed Against Edgio, Inc. (NASDAQ: EGIO) for Alleged Securities Violations During Class Period and Financial Restatements (4/26/2023)
• Credit Suisse Class Action Lawsuit: Alleged Violations of Securities Exchange Act of 1934 (4/25/2023)
• SEC Files Charges in Fine Wine Investment Fraud Scheme (4/21/2023)
• SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency (4/18/2023)
• Plug Power Faces Lawsuit Over Allegedly False and Misleading Statements Regarding Business Operations (4/14/2023)
• SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes (4/13/2023)
• Dutch Bros faces class-action lawsuit for securities violations (4/12/2023)
• Norfolk Southern Faces Securities Fraud Charges (4/7/2023)
• Sonn Law Group PA Files Arbitration Claim Involving Financial Advisor Caz Craffy and Continues to Investigate Other Potential Claims (4/6/2023)
• Match Faces Lawsuit Over Misleading Statements (4/6/2023)
• SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company (4/4/2023)
• FTX influencers face $1B class-action lawsuit over alleged crypto fraud promotion (4/3/2023)
• Class action suit filed against Silicon Valley Bank parent (4/3/2023)
• Amgen Securities Fraud Class Action Lawsuit (4/3/2023)
• SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients (4/3/2023)
• SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud (4/3/2023)
• SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading (4/3/2023)
• SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency (3/29/2023)
• Avi Bailo, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations (3/24/2023)
• Thomas Edison Kelly Jr., Broker with Aegis Capital, Named in Customer Dispute Alleging Various Forms of Misconduct (3/21/2023)
• Jeffrey Donald Noard, Broker with Emerson Equity, Named in Customer Dispute Alleging Various Forms of Misconduct (3/20/2023)
• Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation (3/20/2023)
• Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation (3/19/2023)
• Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony (3/18/2023)
• Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away (3/17/2023)
• 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)