INVESTORS: Former First Financial Equity broker Esmeralda Espinoza was named in a customer dispute alleging that the customer did not fully understand five purchases. Esmeralda[...]
Broker / Advisor Investigations
INVESTORS: Fidelity Brokerage Services broker Derek Christopher Roy was named in a customer dispute alleging that he withheld material information about a trade. Derek Christopher[...]
INVESTORS: Rockwell Financial Group broker George Paul Fill was named in a customer dispute alleging that he made unauthorized trades. George Paul Fill (CRD#:5396631) is[...]
INVESTORS: Ameriprise Financial Services broker Jason Leonard Garofalo was named in a customer dispute alleging that he recommended unsuitable investment positions including Inventrust and Hospitality[...]
INVESTORS: Union Capital Company broker Gerald James Ohalloran was named in a customer dispute alleging that he recommended unsuitable investments and conducted unauthorized activity. Gerald[...]
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred by FINRA in October 2021 after he refused to appear for on-the-record testimony or to[...]
INVESTORS: Former Cambridge Investment Research broker Dale Edward Wright was placed on probation by the Commonwealth of Virginia State Corporation Commission Bureau of Insurance until[...]
INVESTORS: Former National Securities Corporation broker Nicholas John Kraiko was barred by FINRA after he refused to respond to its requests for information. Nicholas John[...]
INVESTORS: Aegis Capital broker Brian Kenneth Court was named in a customer dispute alleging unsuitability, churning, breach of fiduciary duty, and negligence. Brian Kenneth Court[...]
INVESTORS: Hightower Securities broker Peter Joseph Klein was named in three customer disputes alleging violation of suitability obligations in connection with private placements. Peter Joseph[...]