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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Ameriprise Financial Services broker Thais Drummond Piotrowski was named in a customer dispute alleging unsuitable investment recommendations. Thais Drummond Piotrowski (CRD#: 4729077) is registered[...]
INVESTORS: Former Stifel, Nicolaus & Company broker Robert Earl Turner was barred by FINRA following allegations he participated in private securities transactions without providing prior[...]
Attention Clients of Joshua W. Coleman: The SEC has alleged that the Pennsylvania-based former investment adviser fraudulently obtained hundreds of millions in loans by pledging[...]