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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Insigneo Securities broker Ariel Rivero was named in a customer dispute alleging breach of fiduciary duty, failure to supervise, and other forms of misconduct.[...]
INVESTORS: Former ProEquities, Inc. broker Adam Feierstein was named in multiple customer disputes alleging recommendation of unsuitable investments. Adam Feierstein (CRD: 6033082) was registered as[...]
INVESTORS: Newbridge Securities Corporation broker Nicholas Michael Giallourakis was named in a customer dispute alleging he recommended unsuitable investments, among other forms of misconduct. Nicholas[...]
INVESTORS: Wells Fargo broker William Randall Moening was named in customer disputes alleging he misrepresented an investment to a client. William Randall Moening (CRD: 3029155)[...]
INVESTORS: American Trust Investment Services Broker was named six pending customer disputes alleging breach of fiduciary duty and unsuitable investment recommendations. David Richard Geake (CRD#:[...]
INVESTORS: CreativeOne Securities broker Michael Jon Binstock was named in customer disputes alleging he misled and lied to customers. Michael Jon Binstock (CRD: 2728462) has[...]
INVESTORS: Former Securities America broker Kimberly Elizabeth Nuessmann was suspended by FINRA following allegations she impersonated a dead client. Kimberly Elizabeth Nuessmann (CRD: 1596560) was[...]