INVESTORS: Former Windsor Street Capital broker Michael Alejandro Castillero was named in a lawsuit filed by the SEC alleging that he, as well as other[...]
Broker / Advisor Investigations
INVESTORS: First Allied Securities broker Jeffrey Brian Forehand was named in a customer dispute alleging recommendation of unsuitable, high-risk investments. Jeffrey Brian Forehand (CRD#: 1618003)[...]
INVESTORS: Trust Investment Services broker Todd Dwain Gauthier was named in a customer dispute alleging recommendation of unsuitable investments. Todd Dwain Gauthier (CRD#: 14429968) is[...]
INVESTORS: Former Trust Investment Services broker Linda Rotsztein was named in a customer dispute alleging recommendation of unsuitable investments. Linda Rotsztein (CRD#: 4927745) was registered[...]
INVESTORS: Stifel, Nicolaus & Company broker Kenneth David Blumberg was named in a customer dispute alleging failure to diversify, unsuitable investments, misrepresentation and claim violation[...]
INVESTORS: Former Spartan Capital broker Thomas James Baumann is under investigation by FINRA following allegations of churning, excessive trading, and unsuitable investment recommendations. Thomas James[...]
INVESTORS: Intervest International Equities Corporation broker Craig Lee Carson was ordered to cease and desist by the SEC in connection with breaches of fiduciary duties.[...]
INVESTORS: Madison Avenue Securities broker Ann Louise Werts was named in two customer disputes alleging unsuitable investment recommendations. Ann Louise Werts (CRD#: 5057784) is registered[...]
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[...]
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[...]