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[...]
Broker / Advisor Investigations
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.[...]
INVESTORS: G.A. Repple & Company broker Paul Wesley Witthauer was named in a customer dispute alleging concerning an investor’s purchase of L Bonds issued by[...]
INVESTORS: Former LPL Financial broker Bradley Allen Goodbred was named an SEC complaint alleging he stole over $1M from an elderly investment advisory client. Bradley[...]
INVESTORS: Former Fifth Third Securities broker David Sheldon Wells was named an SEC complaint alleging he misappropriated over $683,000 from three investment advisory clients. David[...]
INVESTORS: Merrill Lynch broker Patrick Cody was named in a customer dispute alleging unsuitable recommendations, mismanagement, excessive fees, and fraud. Patrick Cody (CRD: 5902144) is[...]
INVESTORS: Lek Securities Corporation broker Charles Frederik Lek was named in a FINRA complaint alleging failure to comply with settlement and failure to supervise. Charles[...]
INVESTORS: Former Morgan Stanley broker Jimmy Yang Driggers was named in a customer dispute seeking $4M in damages. Jimmy Yang Driggers (CRD: 1359593) was registered[...]
INVESTORS: David Lerner Associates broker Daniel Todd Lerner was named in a FINRA investigation alleging he recommended investments in Energy 11, L.P, Energy 12, L.P.,[...]