INVESTORS: Stifel, Nicolaus & Company broker Kenneth David Blumberg was named in a customer dispute alleging failure to diversify, unsuitable investments, misrepresentation and claim violation[...]
Broker / Advisor Investigations
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[...]
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.[...]