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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Morgan Stanley broker Roy Daniel Budd was named in a customer dispute alleging recommendation of unsuitable investments. Roy Daniel Budd (CRD#: 34635) is registered[...]
INVESTORS: Wedbush Securities broker Chadwick Collins was named in two customer disputes alleging neglectful and reckless handling of client portfolios. Chadwick Collins (CRD#: 2597677) is[...]
INVESTORS: Former Robert W. Baird & Co. broker Edmund Paul Murphy was named in a customer dispute alleging that he recommended investments that were unsuitable.[...]
INVESTORS: MSEC, LLC broker Faith Read Xenos was named in a customer dispute alleging that she over concentrated customers’ accounts in a complex alternative mutual[...]