INVESTORS: Morgan Stanley broker Michael John Wagner is facing two pending customer disputes alleging unsuitable investment recommendations and misrepresentation. Michael John Wagner (CRD#:4465334) is registered[...]
Broker / Advisor Investigations
INVESTORS: Former Merrill Lynch broker Joshua David Nicholas was barred by FINRA following allegations that he converted customer funds. Joshua David Nicholas (CRD#: 6529944) was[...]
INVESTORS: Ameriprise Financial Services broker David Norman Adams is facing two pending customer disputes alleging unsuitable investment recommendations. David Norman Adams (CRD#:1575083) is registered as[...]
INVESTORS: Newbridge Securities Corporation broker John Frank Donoso is facing a pending customer dispute alleging unsuitable investment recommendations. John Frank Donoso (CRD#:4533488) is registered as[...]
INVESTORS: German Nino is accused of stealing 5.8M from an investment client over a 6 year period. The SEC’s complaint alleges that Nino used a[...]
INVESTORS: Cetera Advisors broker Travis Jerome Hughes is facing pending customer disputes alleging unsuitable investment recommendations. Travis Jerome Hughes (CRD#: 1532177) is registered as a[...]
INVESTORS: Cetera Advisors broker Ping Shuang Cathy Wu is facing pending customer disputes alleging unsuitable investment recommendations. Ping Shuang Cathy Wu (CRD#:4924232) is registered as[...]
INVESTORS: Cetera Advisors broker Nathan Paul Macdonald is facing a pending customer dispute alleging unsuitable investment recommendations. Nathan Paul Macdonald (CRD:2250393) is registered as a[...]
INVESTORS: Former LPL Financial broker Frank Lucien Van Houten was named in a customer dispute alleging an unsuitable investment recommendation in an offshore product. Frank[...]
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred by FINRA after he refused to appear for on-the-record testimony or to produce the documents[...]