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[...]
Broker / Advisor Investigations
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.,[...]
INVESTORS: CFD Investments broker Matthew Bahrenburg is facing a pending customer dispute alleging the sale of private investments. Matthew Bahrenburg (CRD: 5295661) is registered as[...]
INVESTORS: Former Voya Financial Advisors broker James Travis Flynn was barred by FINRA after he failed to comply with an arbitration award or settlement agreement[...]
INVESTORS: Former David Lerner Associates broker Jeffrey Daniel Basford was barred by FINRA after he declined to appear for on-the-record testimony in connection with FINRA’s[...]
INVESTORS: Former Carter, Terry & Company broker John Hillman Timberlake is facing a customer dispute alleging unauthorized and unsuitable trades in a client’s account. John[...]