INVESTORS: German Nino is accused of stealing 5.8M from an investment client over a 6 year period. The SEC’s complaint alleges that Nino used a[...]
Broker / Advisor Investigations
INVESTORS: Cetera Advisors broker Travis Jerome Hughes is facing pending customer disputes alleging unsuitable investment recommendations. Travis Jerome Hughes (CRD#: 1532177) is registered as a[...]
INVESTORS: Cetera Advisors broker Ping Shuang Cathy Wu is facing pending customer disputes alleging unsuitable investment recommendations. Ping Shuang Cathy Wu (CRD#:4924232) is registered as[...]
INVESTORS: Cetera Advisors broker Nathan Paul Macdonald is facing a pending customer dispute alleging unsuitable investment recommendations. Nathan Paul Macdonald (CRD:2250393) is registered as a[...]
INVESTORS: Former LPL Financial broker Frank Lucien Van Houten was named in a customer dispute alleging an unsuitable investment recommendation in an offshore product. Frank[...]
INVESTORS: Former LPL Financial broker Eric Shea Hollifield was barred by FINRA after he refused to appear for on-the-record testimony or to produce the documents[...]
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[...]
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[...]