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.[...]
Broker / Advisor Investigations
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[...]
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[...]
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[...]