Last Updated: November 8, 2021 UPDATE: On November 2, 2021 James Seijas was been barred by FINRA for failure to cooperate with their investigation into[...]
Broker / Advisor Investigations
Komischke is accused of recommending unsuitable investments. Sarah Komischke (CRD#: 5076489) is registered as a broker and investment adviser with Cetera Investment Services, where she[...]
Last Updated: October 28, 2021 INVESTORS: The U.S. Attorney’s Office for New Jersey claims that advisor Kenneth Welsh stole $2.86M from his investment clients and[...]
Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages
Butler is accused of negligence and erroneous trading, among other forms of misconduct. Kevin Anthony Butler (CRD#:1138534) is registered as a broker and investment adviser[...]
Lindberg is accused of breach of fiduciary duty and fraud, among other forms of misconduct. Jon Peter Lindberg (CRD#:1085475) was registered as a broker with[...]
Beasley was previously suspended for 7 months by FINRA. Marcus Angelo Beasley (CRD#:3157595) was registered as a broker with Supreme Alliance LLC from September 2019[...]
Komischke is accused of recommending unsuitable investments. Xiao Qin Komischke (CRD#: 5076489) is registered as a broker and investment adviser with Cetera Investment Services, where[...]
The complaint also alleges that Reda made unauthorized trades in customers’ accounts. Marc Augustus Reda (CRD#: 2757330) is registered as a broker with Spartan Capital[...]
Doyle was censured for allegedly using discretionary power without a client’s written authorization. Kevin Carey Doyle (CRD#: 2102345) was registered as a broker with Raymond[...]
Failla was suspended by the New Jersey Bureau of Securities earlier this year. Roy Joseph Failla (CRD#: 2786551) is registered as a broker with Arive[...]