INVESTORS: Former LPL Financial broker Eric Shea Hollifield was charged by the SEC with misappropriating at least $1.7M from two advisory clients and one brokerage[...]
Broker / Advisor Investigations
INVESTORS: Former H.D. Vest Investment Services broker Penny Gail Flippen was named in a complaint filed by the SEC alleging operation of a massive Ponzi[...]
INVESTORS: Former Edward Jones broker Britt Franklin Wright was named in a complaint filed by the SEC alleging operation of a massive Ponzi scheme. Britt[...]
INVESTOR NOTICE: If you are a former client of Morgan Stanely’s Shawn Good you may have options for financial recovery. Contact Sonn Law Group today[...]
INVESTORS: Former Wells Fargo broker Xiangyu Yu Zhang is facing customer disputes alleging unsuitable recommendations. Xiangyu Yu Zhang (CRD#: 5050282) was registered as a broker[...]
INVESTORS: Network 1 Financial Securities broker Eric Edward Nicolassy was suspended by FINRA following allegations that he excessively and unsuitably traded a senior customer’s account.[...]
INVESTORS: Morgan Stanley broker David Randall Lehnertz was named in a customer dispute alleging he recommended unsuitable investments. David Randall Lehnertz (CRD: 2287146) is registered[...]
INVESTORS: Former Centaurus Financial broker Marc Frederick Korsch is facing customer disputes alleging unsuitable recommendations of GWG L Bonds to customers. Marc Frederick Korsch (CRD#:[...]
INVESTORS: Ameritas Investment Company broker Tobin Carl Hoffmann was named in a customer dispute alleging he made misrepresentations related to an investment. Tobin Carl Hoffmann[...]
INVESTORS: Cetera Advisors broker Randall John Mason was named in a customer dispute alleging he made an unsuitable investment recommendation. Randall John Mason (CRD#: 1758777)[...]