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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Former MetLife Securities broker John Dalton Phillips was named in a customer dispute alleging misrepresentations and omissions. John Dalton Phillips (CRD#: 2796242) was registered[...]
INVESTORS: Former LPL Financial broker Kevin Marshall McCallum was named in a customer dispute alleging overconcentration of investments. Kevin Marshall McCallum (CRD#: 2222586) was registered[...]
INVESTORS: Former Integrity Brokerage broker Joshua Nathan Helmle was named in a customer dispute alleging failure to exercise his supervisory responsibilities. Joshua Nathan Helmle (CRD#:[...]
INVESTORS: Fortune Financial Services broker Mitchell Howard Hirsch was named in a customer dispute alleging breach of fiduciary duty. Mitchell Howard Hirsch (CRD#: 1147538) is[...]