INVESTORS: Intervest International Equities Corporation broker Jonathan Eric Ellefson was named in a customer dispute alleging breaches of fiduciary duty, negligent misrepresentations, gross negligence, violation[...]
Broker / Advisor Investigations
INVESTORS: Morgan Stanley broker Clinton Edward Curtright was named in a customer dispute alleging misrepresentation and Regulation Best Interest. Clinton Edward Curtright (CRD: 5921560) is[...]
INVESTORS: LPL Financial broker Richard Alan Maas was named in a customer dispute alleging lack of diversification. Richard Alan Maas (CRD: 5921560) is registered as[...]
INVESTORS: UBS Financial Services broker Dennis Stephen Oleszkowicz was named in a customer dispute alleging breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI,[...]
INVESTORS: Spire Securities broker Scott Erik Aabel was named in a customer dispute alleging unsuitable investment recommendations in GWG L-Bonds. Scott Erik Aabel (CRD: 1493667)[...]
INVESTORS: Former CFD Investments broker Dana Bruce Vietor was named in multiple customer disputes alleging breach of fiduciary duty, violation of FINRA suitability rules, and[...]
INVESTORS: UBS Financial Services broker Matthew Stern Buchsbaum was named in a customer dispute alleging misrepresentation and unsuitability. Matthew Stern Buchsbaum (CRD: 2220565) is registered[...]
INVESTORS: Merrill Lynch broker Adam Jesse Gurien was named in a customer dispute alleging misrepresentation and unsuitability. Adam Jesse Gurien (CRD: 2302341) is registered as[...]
INVESTORS: Former David Lerner Associates broker Lawrence Merl was named in a customer dispute alleging unsuitable investment recommendations. Lawrence Merl (CRD: 2443190) was registered as[...]
INVESTORS: Spartan Capital Securities broker Todd Michael Venturino was named in a FINRA complaint alleging excessive and unsuitable trading. Todd Michael Venturino (CRD: 2939050) is[...]