INVESTORS: Former Morgan Stanley broker Darryl Cohen is facing multiple pending customer disputes alleging misrepresentation. Darryl Cohen (CRD#: 2786613) was registered as a broker with[...]
Broker / Advisor Investigations
INVESTORS: Former Edward Jones broker Ronald Scott Bright was suspended by FINRA for 15 days following allegations that he exercised discretion in customer accounts without[...]
INVESTORS: Charles Schwab broker Mark Lee Elafros was named in customer dispute alleging unsuitable investment recommendations Mark Lee Elafros (CRD#: 2337393) is registered as a[...]
INVESTORS: Former Ameriprise Financial broker Dinu Marian Tise was suspended by FINRA following allegations of unethical actions. Dinu Marian Tise (CRD#: 4609240) was registered as[...]
INVESTORS: Stifel, Nicolaus & Company broker Joel Paul Kichline was fined $5,000 by FINRA following allegations that he exercised discretion on 1,519 occasions in five[...]
INVESTORS: Former LPL Financial broker Scott Michael Bremus was discharged following allegations that he facilitated private securities transactions without Firm approval. Scott Michael Bremus (CRD#:[...]
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[...]
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[...]