Broker / Advisor Investigations

INVESTORS: Former Wells Fargo broker Daniel Lawrence Pimental named in multiple customer disputes alleging unsuitable investment recommendations. Daniel Lawrence Pimental (CRD: 2196343) was registered as[...]

INVESTORS: Former JVB Financial Group broker Devin Wicker was barred by FINRA following allegations that he improperly used and converted a customer’s funds to pay[...]

INVESTORS: Former Spartan Capital Securities broker Terry Tzagarakis was suspended for three months by FINRA following the failure to timely amend his Form U4 to[...]

INVESTORS: B. Riley Wealth Management broker James Lee Greene is facing a pending customer dispute alleging unsuitable investment recommendations. James Lee Greene (CRD: 2974053) is[...]

INVESTORS: Former Worden Capital Management broker Antonio Almeida was suspended for three months by FINRA following the failure to timely amend his Form U4 to[...]

INVESTORS: Rockefeller broker Shay W. Scruggs is facing a pending customer dispute alleging unsuitable investment recommendations resulting in losses. Shay W. Scruggs (CRD: 4173046) is[...]

INVESTORS: Former Triad Advisors broker Kenneth Anthony Luccioni is facing three pending customer disputes alleging unsuitable investments. Kenneth Anthony Luccioni (CRD: 719779) was registered as[...]

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:[...]

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.[...]

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[...]