INVESTORS: Former Center Street Securities broker Seth Barnes Stewart was named in customer disputes alleging unsuitable investment recommendations. Seth Barnes Stewart (CRD#: 5467292) was registered[...]
Broker / Advisor Investigations
INVESTORS: Former RBC Capital Markets broker Scott Jay Matalon was named in a customer dispute alleging negligence, misrepresentation, and failure to supervise. Scott Jay Matalon[...]
INVESTORS: Citigroup Global Markets broker Thomas Paul Tibaldi is facing a pending customer dispute alleging failure to provide suitable recommendations, failure to execute an order[...]
INVESTORS: RBC Capital Markets broker Joseph Ijong Chu is facing pending customer disputes alleging unsuitable concentration of energy sector securities. Joseph Ijong Chu (CRD#:4546805) is[...]
INVESTORS: The SEC charged broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current Chief Operations Officer Joseph Walsh with engaging[...]
INVESTORS: Former Morgan Stanley broker Manish Saini suspended by FINRA for 60 days following allegations that he participated in a private securities transaction involving his[...]
INVESTORS: UBS Financial Services broker William Word Huthnance is facing pending customer disputes alleging recommendation of unsuitable investments. William Word Huthnance (CRD#:4326519) is registered as[...]
INVESTORS: Morgan Stanley broker Lawrence William Catena is facing pending customer disputes alleging recommendation of unsuitable investments. Lawrence William Catena (CRD#:2037155) is registered as a[...]
INVESTORS: Cetera Investment Services broker Doris Lau is facing a pending customer dispute alleging unsuitable investment recommendations. Doris Lau (CRD#: 5750600) is registered as a[...]
INVESTORS: Park Avenue Securities broker Anthony Thomas Megaro is facing pending customer disputes alleging that he forged a client’s signature on a beneficiary form. Anthony[...]