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#:[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Edward Jones broker Dylan Casey Hales was named in a customer dispute alleging he misled and provided false information to a customer regarding tax[...]
INVESTORS: American Trust Investment Services Broker was named two pending customer disputes alleging breach of fiduciary duty and unsuitable investment recommendations. David Richard Geake (CRD#:[...]
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[...]
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[...]