INVESTORS: Arete Wealth Management broker Avi Bailo was named in customer disputes alleging unsuitable investment recommendations. Avi Bailo (CRD: 6165479) is registered as a broker[...]
Broker / Advisor Investigations
INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named in a customer dispute alleging various forms of misconduct. Thomas Edison Kelly Jr. (CRD: 2877415)[...]
INVESTORS: Emerson Equity broker Jeffrey Donald Noard was named in a customer dispute alleging various forms of misconduct. Jeffrey Donald Noard (CRD: 1983392) is registered[...]
Boggs was previously barred by FINRA in 2019 for the same misconduct. The Sonn Law Group is investigating allegations that Marcus Boggs misappropriated funds. If[...]
INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael[...]
INVESTORS: Former Morgan Stanley broker Miche Jean was named in a complaint by FINRA alleging failure to appear for testimony. Miche Jean (CRD: 5918186) was[...]
INVESTORS: Former PFS Investments broker Kevin Andrew Hobbs was barred by FINRA following allegations of trading away. Kevin Andrew Hobbs (CRD: 4267482) was registered as[...]
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),[...]
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[...]