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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Cambridge Investment Research broker Brian Charles Kennedy was named in customer disputes alleging recommendation of unsuitable investments. Brian Charles Kennedy (CRD: 2321416) is registered[...]
INVESTORS: Coastal Equities broker Jon Paul Cirelli was named in a customer dispute alleging negligence, breach of fiduciary duty, breach of contract, and Violations of[...]
INVESTORS: AAG Capital broker Jon Raymond Lee was named in a customer dispute alleging concerning an investor’s purchase of L Bonds issued by GWG Holdings.[...]