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