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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Cetera Investment Services broker Leo Li-Yuan Chien was named in customer disputes following allegations of selling unsuitable investments. Leo Li-Yuan Chien (CRD: 2821380) is[...]
INVESTORS: Former SW Financial broker Peter Girgis was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Peter Girgis[...]
INVESTORS: Hilltop Securities broker Stephen Robert Coma was named in customer disputes seeking $13M in damages. Stephen Robert Coma (CRD#: 1414147) is registered as a[...]
INVESTORS: Merrill Lynch broker William Worthen King was named in customer disputes alleging unauthorized trading. William Worthen King (CRD#: 1432593) is registered as a broker[...]
INVESTORS: NI Advisors broker Shirley Ank Wong was named in a customer dispute alleging failure to supervise and unsuitable investment recommendations. Shirley Ank Wong (CRD#:[...]
INVESTORS: Cadaret, Grant & Co. broker Michele McAdoo Fane was named in a customer dispute alleging failure to supervise. Michele McAdoo Fane (CRD#: 858728) is[...]
INVESTORS: VCS Venture Securities broker Adam Maggio was named in a customer dispute alleging various forms of broker misconduct. Adam Maggio (CRD#: 4177365) is registered[...]