UPDATE: Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision Sonn Law Group is Investigating Morgan Stanley Broker[...]
Broker / Advisor Investigations
INVESTORS: Ameriprise Financial Services broker Andrew Perry Hess was named in a customer dispute alleging failure to diversify portfolio and unsuitable investment recommendations. Andrew Perry[...]
INVESTORS: Former Ausdal Financial Partners broker Richard Guy Duncan was named in customer disputes alleging recommendation of unsuitable investments. Richard Guy Duncan (CRD#:73262) was registered[...]
INVESTORS: J.W. Cole Financial broker Shad Ray Ketcher was named in a customer dispute alleging unsuitable recommendations. Shad Ray Ketcher (CRD: 2684383) is registered as[...]
INVESTORS: Insigneo Securities broker Carlos A. Estima was named in a customer dispute alleging investment losses. Carlos A. Estima (CRD: 5626848) is registered as a[...]
INVESTORS: Calton & Associates broker Paul William Murphy was named in multiple customer disputes alleging unsuitability and breach of fiduciary duty. Paul William Murphy (CRD:[...]
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[...]
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[...]