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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: United Planners’ Financial Services of America broker Douglas Albert Dulac is facing a pending customer dispute alleging recommendation of unsuitable investments, negligence, and fraud,[...]
INVESTORS: Former Henley & Company broker Barbara Ann Bernatzky was barred by FINRA after she refused to appear for on-the-record testimony. Barbara Ann Bernatzky (CRD#:[...]
INVESTORS: Former Alliance Global Partners broker Paul Francis Gallivan was named in an SEC complaint alleging unsuitable recommendations of VRSPs to four customers. Paul Francis[...]
INVESTORS: Great Point Capital broker James David Beaudoin is facing a pending customer dispute alleging recommendation of unsuitable investments. James David Beaudoin (CRD#: 2992651) is[...]
INVESTORS: Lincoln Financial Advisors broker Richard Glenn Shaw is facing pending customer disputes alleging recommendation of unsuitable investments. Richard Glenn Shaw (CRD#: 1870018) is registered[...]
INVESTORS: Former Ameriprise Financial Services broker Murray Todd Petersen was named in two pending customer disputes alleging fraud and negligence related to the purchase of[...]
INVESTORS: Ameriprise Financial Services broker Marlene Yacenda is facing a pending customer dispute alleging harassment. Marlene Yacenda (CRD#: 5334370) is registered as a broker with[...]
INVESTORS: Cetera Investment Services broker Jiaqi Chen is facing a pending customer dispute alleging recommendation of unsuitable investments. Jiaqi Chen (CRD#: 6048832) is registered as[...]