INVESTORS: Former broker Daniel Lee Holman is facing a pending customer dispute alleging that he misrepresented unsuitable products to his clients. Daniel Lee Holman (CRD:[...]
Broker / Advisor Investigations
INVESTORS: Crown Capital Securities broker Frederick Mark Atiyeh is facing two pending customer disputes alleging that he recommended unsuitable investment and made misrepresentations to clients.[...]
James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes
INVESTORS: Former broker James William Dunn is facing five pending customer disputes alleging that he recommended unsuitable investments. James William Dunn (CRD: 6084258) was registered[...]
INVESTORS: FINRA has suspended Roland Terrence Molo from the securities industry indefinitely after he failed to respond to FINRA’s requests for information. Roland Terrence Molo[...]
Rodriguez is facing six pending customer disputes. Jesus Rodriguez (CRD: 5534184) was registered as a broker with Morgan Stanley from 2009 until 2021. Previously, Rodriguez[...]
Giordano was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Joseph Michael Giordano (CRD: 4737649) is registered as a broker with[...]
Birardi was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Roberto Birardi (CRD: 4737649) is registered as a broker with Aegis[...]
Francoeur was accused of assisting a client with an unapproved investment. Michael Paul Francoeur (CRD: 5534184) was registered as a broker with Cambridge Investment Research[...]
William LeBoeuf is accused of using his personal email to solicit a family member to invest in a pooled real estate investment fund, in addition[...]
Tang is facing two pending customer disputes over the allegations. Clara Tang (CRD: 4852979) was registered as a broker with Cetera Investment Services from 2012[...]