INVESTORS: Former National Securities Corporation broker Mark Alan Cline is facing multiple customer disputes alleging that he recommended unsuitable investments in GWG Holdings L Bonds.[...]
Broker / Advisor Investigations
INVESTORS: Former lawyer for Wendy Williams, LaShawn Thomas, claimed that Williams’ former financial advisor at Wells Fargo Advisors refused to grant Williams access to her[...]
INVESTORS: Former Ameriprise Financial Services broker Daniel Minich was suspended by FINRA following allegations that he participated in three private securities transactions totaling approximately $200,000[...]
INVESTORS: Former CFD Investments broker Ashley Marie Bolson is facing a customer dispute alleging fraud and non-disclosure, negligent misrepresentation, breach of fiduciary duty, negligence, breach[...]
INVESTORS: Former Kestra Investment Services broker Herman Laibe Kahn is facing a customer dispute alleging misrepresentation and unsuitable investment recommendations. Herman Laibe Kahn (CRD#: 1866522)[...]
INVESTORS: Kalos Capital broker David Scott Mirolli was named in multiple customer disputes alleging unsuitable investment recommendations related to GPB Capital Holdings. David Scott Mirolli[...]
INVESTORS: Former Dempsey Lord Smith broker Joseph Patrick Roop is facing a customer dispute alleging improper recommendations and suitability issues. Joseph Patrick Roop (CRD#: 2774470)[...]
INVESTORS: Madison Avenue Securities broker Stephen Yauman Kwan is facing pending customer disputes alleging unsuitable recommendations of GPB Capital investments. Stephen Yauman Kwan (CRD#: 3183681)[...]
INVESTORS: UBS Financial Services broker Jeffrey Adam Miller is facing a pending customer dispute alleging that he recommended an unsuitable concentration of gold and silver[...]
INVESTORS: Former SW Financial broker John Sebastion Cangialosi is facing a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and[...]