INVESTORS: Former LPL Financial broker John Nicholas Terzis was barred by FINRA following allegations he borrowed $200,000 from a 69-year-old ailing client. John Nicholas Terzis[...]
Broker / Advisor Investigations
INVESTORS: Wells Fargo broker Andrew Fredric Perry was named in a customer dispute alleging unsuitability and misrepresentation. Andrew Fredric Perry (CRD: 1726938) has been registered[...]
INVESTORS: Aegis Capital broker Keith Michael Dagostino was named in a customer dispute alleging unsuitability, misrepresentation and omission of material facts, and breach of fiduciary[...]
INVESTORS: Spartan Capital Securities broker John Dennis Lowry was named in a FINRA complaint alleging that he failed to disclose arbitration filings and resolutions John[...]
INVESTORS: Cetera Investment Services broker Howard Hao-Chung Hsieh was named in a customer dispute alleging unsuitable recommendations and breach of fiduciary duty. Howard Hao-Chung Hsieh[...]
INVESTORS: Former Fortune Financial Services broker Michael Murray Knittel was suspended by FINRA following allegations he participated in a private securities transaction involving a $245,000[...]
INVESTORS: Citizens Securities broker Adam Tucker Boyce was named in multiple customer disputes alleging misrepresentation. Adam Tucker Boyce (CRD: 6195379) is registered as a broker[...]
INVESTORS: Former CapWealth Investment Services broker Timothy Jude Pagliara was named in a customer dispute alleging breach of fiduciary duty and unsuitable recommendations. Timothy Jude[...]
INVESTORS: Momentum Independent Network broker Martin Bradley Winges was named in a customer dispute alleging misrepresentations, omissions, and unsuitability. Martin Bradley Winges (CRD: 1929509) is[...]
INVESTORS: Former SW Financial broker Michael Richard Rosalia was named in a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract,[...]