INVESTORS: Former Stifel, Nicolaus & Company broker Robert Earl Turner was named in multiple customer disputes alleging misappropriation of funds and fraud. Robert Earl Turner[...]
Broker / Advisor Investigations
INVESTORS: Former Morgan Stanley broker Nikolay Zotenko was suspended by FINRA for providing misleading and unwarranted statements to investors about a private placement. Nikolay Zotenko[...]
INVESTORS: EFG Capital International broker Eduardo Moliterno Da Cruz is facing a customer dispute alleging excessive investment losses. Eduardo Moliterno Da Cruz (CRD: 5578693) is[...]
INVESTORS: Wells Fargo broker Daniel Arthur Evans was named in a customer dispute alleging he recommended unsuitable investments. Daniel Arthur Evans (CRD: 1573625) is registered[...]
INVESTORS: NPB Financial Group broker Neal Edwin Nakagiri is facing multiple customer disputes alleging a wide variety of misconduct. Neal Edwin Nakagiri (CRD: 722534) was[...]
INVESTORS: EFG Capital International broker Kenia Naves Rocha is facing a customer dispute alleging excessive investment losses. Kenia Naves Rocha (CRD: 5629596) is registered as[...]
INVESTORS: Former J.W. Cole Financial broker Vincent Bernard Mastrovito was named in multiple customer disputes alleging unsuitable recommendations. Vincent Bernard Mastrovito (CRD: 2044645) was registered[...]
INVESTORS: DFPG Investments broker Joseph Langlois is facing a customer dispute alleging that he recommended unsuitable investments, among other forms of misconduct. Joseph Langlois (CRD:[...]
INVESTORS: Former LPL Financial broker Michael Walter Mandel was suspended by FINRA following allegations that he participated in private securities transactions without providing prior written[...]
INVESTORS: Former Stifel, Nicolaus & Company broker Andrew Bruce Elsoffer was suspended by FINRA following allegations that he exercised discretion in customer accounts without prior[...]