INVESTORS: Former SW Financial broker William Nicholas Athas is facing a pending customer dispute alleging unsuitable trading, common law fraud, churning, breach of contract, negligent[...]
Broker / Advisor Investigations
INVESTORS: LPL Financial broker Steven Michael Richardson was named in a customer dispute alleging excessive trading. Steven Michael Richardson (CRD:1819383) is registered as a broker[...]
INVESTORS: Cambridge Investment Research broker Christina Lindsey Orta is facing a pending customer dispute alleging unsuitable investment recommendations. Christina Lindsey Orta (CRD:3278327) is registered as[...]
INVESTORS: UBS Financial broker Roderick K Von Lipsey is facing multiple pending customer disputes alleging unsuitability and misrepresentations. Roderick K Von Lipsey (CRD: 4270444) is[...]
INVESTORS: Janney Montgomery Scott broker Kirk Edward Pickell is facing a pending customer dispute alleging unsuitable investment recommendations. Kirk Edward Pickell (CRD: 2294187) is registered[...]
INVESTORS: David Lerner Associates broker Jeffrey Daniel Basford is facing two pending customer disputes alleging unsuitability and misrepresentations and omissions. Jeffrey Daniel Basford (CRD: 5077566)[...]
INVESTORS: Former LPL Financial broker David John Volpe is facing a pending customer dispute alleging that he converted a client’s funds. David John Volpe (CRD:[...]
INVESTORS: Former Woodbury Financial broker Peter Werner David is facing a pending customer dispute alleging unsuitable recommendations. Peter Werner David (CRD: 1133608) was registered as[...]
INVESTORS: Delta Securities broker Sean Donovan Casterline was suspended for 18 months by FINRA following allegations that he participated in private securities transactions without providing[...]
INVESTORS: Former First Allied Securities broker David Robert Kennon is facing two pending customer disputes alleging unsuitable recommendations, overconcentration, misrepresentations, failure to supervise, and breach[...]