INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael[...]
Broker / Advisor Investigations
INVESTORS: Former Morgan Stanley broker Miche Jean was named in a complaint by FINRA alleging failure to appear for testimony. Miche Jean (CRD: 5918186) was[...]
INVESTORS: Former PFS Investments broker Kevin Andrew Hobbs was barred by FINRA following allegations of trading away. Kevin Andrew Hobbs (CRD: 4267482) was registered as[...]
The Securities and Exchange Commission (SEC) has filed a lawsuit against twin brothers and financial advisors, Adam S. Kaplan (CRD#: 6609019) and Daniel E. Kaplan (CRD#: 6609015),[...]
INVESTORS: Ameriprise Financial Services broker Reza Hamid Taraz was named in customer dispute alleging unsuitable investment recommendations. Reza Hamid Taraz (CRD: 4079866) is registered as[...]
INVESTORS: Lifemark Securities broker Garrett Wayne Moretz was named in customer dispute alleging unsuitable recommendations in GWG L-Bonds. Garrett Wayne Moretz (CRD: 4086791) is registered[...]
BREAKING NEWS (February 28, 2023): The Washington Post is reporting that four military families have accused Caz Craffy of taking direct control of their life[...]
INVESTORS: American Trust Investment Services broker Linda Jill Wimsatt was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Linda[...]
INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L[...]
INVESTORS: American Trust Investment Services broker Scot Barringer was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Scot Barringer[...]