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[...]
Broker / Advisor Investigations
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:[...]
INVESTORS: Cetera Investment Services broker Clark Owen was named in customer dispute following allegations of losses in GWG-L bonds. Clark Owen (CRD: 6096730) is registered[...]
BREAKING NEWS: (February 21, 2023) Los Angeles-based investment advisor Antoine Souma has been barred from the financial services industry after failing to cooperate with an[...]
INVESTORS: Former Sagepoint Financial broker Delio Eduardo Londono was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Delio[...]