INVESTORS: Former Oppenheimer & Co. broker Allan G. Snider was named in a customer dispute alleging recommendation of unsuitable investments. Allan G. Snider (CRD#:429580) was[...]
Broker / Advisor Investigations
INVESTORS: Former Morgan Stanley broker Robert C. David was suspended by FINRA following allegations that he falsified his customers’ account profile information to circumvent firm[...]
Global VIP and Global Advantage Select Were Unsuitable For Claimants Two older investors from Venezuela have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim[...]
INVESTORS: Former Edward Jones broker John Winslow was barred by FINRA following allegations that he failed to disclose to his former firm that he received[...]
INVESTORS: Former Cetera Advisors broker Marianne O’Shee Smith was barred by FINRA following allegations that she diverted over $45,000 from the accounts of three senior[...]
INVESTORS: Emerson Equity broker Tony Barouti was named in a customer dispute alleging losses in customer accounts. Tony Barouti (CRD#: 4440958) is being investigated regarding[...]
INVESTORS: Ameriprise Financial Services broker Vincent Leonard Petrangelo was named in a customer dispute alleging failure to supervise. Vincent Leonard Petrangelo (CRD#: 2866580) is registered[...]
INVESTORS: Former Snowden Account Services broker Jorge Luis Alfonso was named in a customer dispute alleging unsuitable investment recommendations. Jorge Luis Alfonso (CRD#: 4728979) was[...]
INVESTORS: Dominion Investor Services broker Lance Colby Watson was named in a customer dispute alleging losses in customer accounts. Lance Colby Watson (CRD#: 4440958) is[...]
INVESTORS: Edward Jones broker John Todd Davis was named in a customer dispute alleging failure to follow instructions. John Todd Davis (CRD#: 2312724) is registered[...]