INVESTORS: LPL Financial broker Altin Tirana was suspended by FINRA following allegations he falsified the representative code for trades in his member firm’s order entry[...]
Broker / Advisor Investigations
INVESTORS: Former Morgan Stanley broker Pawan Kumar Passi was named in a customer dispute alleging misrepresentation. Pawan Kumar Passi (CRD: 5527731) was registered as a[...]
INVESTORS: LPL Financial broker Michael Glenn Chandler was named in customer dispute alleging recommendation of unsuitable investments and overconcentration. Michael Glenn Chandler (CRD: 5532695) is[...]
INVESTORS: Aegis Capital broker Michael Vincent Restagno was named in multiple customer disputes alleging recommendation of unsuitable investments. Michael Vincent Restagno (CRD: 5532695) is registered[...]
INVESTORS: Former Pruco Securities broker Robert Leo Luley Jr. was named in multiple customer disputes alleging recommendation of unsuitable investments. Robert Leo Luley Jr. (CRD:[...]
INVESTORS: Former Richfield Orion International broker Palmery Robert Desir was suspended by FINRA following allegations he made excessive and unsuitable trades in customers’ accounts. Palmery[...]
INVESTORS: Former PFS Investments broker Steven Kiyoto Hirata was barred by FINRA following allegations he refused to provide documents and information requested by FINRA. Steven[...]
INVESTORS: Former LPL Financial broker John Nicholas Matson was barred by FINRA following allegations he refused to provide documents and information requested by FINRA. John[...]
INVESTORS: Emerson Equity broker Robert Wyla Melberth was named in multiple customer disputes alleging breach of fiduciary duty, breach of contract, and other forms of[...]
INVESTORS: Reid & Rudiger LLC broker Edward Joseph Rudiger Jr. was named in a customer dispute alleging unsuitable recommendations and unauthorized transactions. Edward Joseph Rudiger[...]