The Securities and Exchange Commission (SEC) has filed a lawsuit against twin brothers and financial advisors, Adam S. Kaplan (CRD#: 6609019) and Daniel E. Kaplan (CRD#: 6609015),[...]
Broker / Advisor Investigations
INVESTORS: Ameriprise Financial Services broker Reza Hamid Taraz was named in customer dispute alleging unsuitable investment recommendations. Reza Hamid Taraz (CRD: 4079866) is registered as[...]
INVESTORS: Lifemark Securities broker Garrett Wayne Moretz was named in customer dispute alleging unsuitable recommendations in GWG L-Bonds. Garrett Wayne Moretz (CRD: 4086791) is registered[...]
BREAKING NEWS (February 28, 2023): The Washington Post is reporting that four military families have accused Caz Craffy of taking direct control of their life[...]
INVESTORS: American Trust Investment Services broker Linda Jill Wimsatt was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Linda[...]
INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L[...]
INVESTORS: American Trust Investment Services broker Scot Barringer was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Scot Barringer[...]
INVESTORS: Wells Fargo broker Lauren Razar Matles was named in customer dispute alleging failure to follow instructions. Lauren Razar Matles (CRD: 2945465) is registered as[...]
INVESTORS: Wells Fargo broker Johanna Elise Laudicina was named in customer dispute alleging failure to follow instructions. Johanna Elise Laudicina (CRD: 5662931) is registered as[...]
INVESTORS: D.H. Hill Securities broker Steven Todd Standley was named in customer dispute following allegations of unsuitable investments in GWG-L bonds. Steven Todd Standley (CRD:[...]
