INVESTORS: Ameriprise Financial Services broker Jennifer Marcontell is facing a pending customer dispute alleging failure to follow instructions. Jennifer Marcontell (CRD#: 4008873) is registered as[...]
Broker / Advisor Investigations
INVESTORS: Landolt Securities broker Jason Paul Collichio is facing multiple pending customer disputes alleging recommendation of unsuitable investments. Jason Paul Collichio (CRD#: 4727199) is registered[...]
INVESTORS: NPM Securities broker Christopher Michael Setaro is facing a pending customer dispute alleging failure to supervise. Christopher Michael Setaro (CRD#: 2635774) is registered as[...]
INVESTORS: Former Ameriprise Financial Services broker Francis Joseph Velten was named in a complaint by FINRA after he failed to respond to FINRA’s requests for[...]
INVESTORS: Former Cetera Advisors broker Adam Thomas Marquardt was barred by FINRA after he refused to provide on-the-record testimony requested by FINRA in connection with[...]
INVESTORS: Former First Allied Securities broker Chad Ryan Barancyk was suspended by FINRA after refusing to respond to FINRA’s requests for information. Chad Ryan Barancyk[...]
INVESTORS: Former Madison Avenue Securities broker Vincent Anthony Virga was named in a customer dispute alleging recommendation of unsuitable alternative investments. Vincent Anthony Virga (CRD#:[...]
INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael[...]
INVESTORS: Former Transamerica Financial Advisors broker Mark Smith was barred by FINRA following refusal to appear for testimony in connection with investigation. Mark Smith (CRD:[...]
Sonn Law Group is investigating Christian De Berardinis (CRD# 4312327) and Gianluca De Beradinis (CRD# 4893776) of The De Barrdinis Group regarding allegations of recommendations[...]