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[...]
Broker / Advisor Investigations
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[...]
INVESTORS: Former Aegis Capital broker Joseph Francis Valdini was named in a customer dispute alleging churning, unsuitable trade recommendations, breach of fiduciary duty, and negligent[...]
INVESTORS: Former Wynston Hill Capital broker Craig Jay Sherman was suspended for four months by FINRA following allegations that he failed to reasonably discharge supervisory[...]
INVESTORS: Former Cetera Advisor Networks broker Robert Jonathan Spencer was barred by FINRA after he refused to produce documents and information requested in connection with[...]
INVESTORS: National Securities Corporation broker Christopher Edward Bond was suspended for fifteen business days by FINRA following allegations he made unauthorized trades. Christopher Edward Bond[...]
INVESTORS: Former LPL Financial broker Howell Gregory Ferguson was suspended by FINRA for two years following allegations he signed a customer’s name without permission. Howell[...]
INVESTORS: Former LPL Financial broker Paul Richard McGonigle was indicted on one count of fraud and two counts of money laundering. Paul Richard McGonigle (CRD:[...]
INVESTORS: Former Hilltop Securities broker Dennis Phillip Ayre was barred by FINRA following his refusal to appear for testimony requested by FINRA in connection with[...]
Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading
INVESTORS: Wells Fargo broker Todd Michael Hayse was named in a customer dispute alleging that he made unauthorized trades. Todd Michael Hayse (CRD#:5365176) is registered[...]