INVESTORS: Newbridge Securities Corporations broker Michael Joseph Whitaker was named in a customer dispute alleging he breached his fiduciary duty, among other misconduct. Michael Joseph[...]
Broker / Advisor Investigations
INVESTORS: Allstate Financial Services broker Kennister Ulesley Daley was named in a customer dispute alleging he made unsuitable investment recommendations, among other misconduct. Kennister Ulesley[...]
INVESTORS: Avantax Investment Services broker Virgil Arthur Biggs was named in a customer dispute alleging he made unsuitable investment recommendations. Virgil Arthur Biggs (CRD#: 1755904)[...]
INVESTORS: David Lerner Associates broker Lawrence Merl was named in a customer dispute alleging he made unsuitable investment recommendations. Lawrence Merl (CRD#: 2443190) is registered[...]
INVESTORS: Wells Fargo broker Christopher Dyer Queen was named in a customer dispute alleging he breached his fiduciary duty, causing the client to suffer damages.[...]
INVESTORS: Ameriprise Financial Services broker John August Van Wambeke was named in a customer dispute alleging he failed to update the beneficiaries on an account.[...]
INVESTORS: Hornor, Townsend & Kent broker Debra Lynn Clark was named in a customer dispute alleging she recommended unsuitable investments, among other forms of misconduct.[...]
INVESTORS: Morgan Stanley broker Thomas Craig Bonds was named in a customer dispute alleging he recommended unsuitable investments. Thomas Craig Bonds (CRD: 1867556) is registered[...]
INVESTORS: Former Stifel, Nicolaus & Company broker Robert Earl Turner was named in multiple customer disputes alleging misappropriation of funds and fraud. Robert Earl Turner[...]
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[...]