INVESTORS: Former Network 1 Financial Securities broker David Khezri was barred by FINRA following allegations of recommending unsuitable investments. David Khezri (CRD: 2736831) was registered[...]
Broker / Advisor Investigations
INVESTORS: Cetera Advisors broker Anthony Joseph named in customer disputes alleging unsuitable investment recommendations and negligence. Peter Kyung Hoon Rhee (CRD: 2326728) is registered as[...]
INVESTORS: Former Aegis Capital broker Peter James Fetherson is facing charges from FINRA alleging that he converted and misused customer funds. Peter James Fetherson (CRD:[...]
INVESTORS: Former SW Financial broker Richard Foerster Reynolds is facing a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and[...]
INVESTORS: VCS Venture Securities broker Matthew Gates is facing a pending customer dispute alleging unsuitable investment recommendations and excessive trading. Matthew Gates (CRD: 4727945) is[...]
INVESTORS: Capital Investment Group broker Anthony John Pitta is facing a pending customer dispute alleging unsuitable investment recommendations. Anthony John Pitta (CRD: 1958029) is registered[...]
INVESTORS: Center Street Securities broker Kenneth James New is facing a pending customer dispute alleging unsuitable investment recommendations. Kenneth James New (CRD: 2836918) is registered[...]
INVESTORS: Former Joseph Stone Capital broker Joseph Albert Ambrosole was barred by FINRA after he refused to appear for testimony in connection with their investigation[...]
INVESTORS: Laidlaw & Company broker Gregory William Melendez was named in customer disputes alleging the recommendation of unsuitable investments. Gregory William Melendez (CRD: 4920698) is[...]
INVESTORS: Former SW Financial broker Kevin Richard Wilson is facing multiple pending customer disputes alleging misrepresentation of private placements, among other forms of misconduct. Kevin[...]