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