INVESTORS: FINRA suspended SW Financial broker Joseph Augustine Lianzo for making unauthorized trades in customers’ accounts. Joseph Agustien Lianzo (CRD: 4516842) is registered as a[...]
Broker / Advisor Investigations
INVESTORS: IMST Distributors broker Nicholas Fougler Taggart was named in a customer dispute alleging unsuitable alternative investment recommendations. Nicholas Fougler Taggart (CRD: 4353676) is registered[...]
INVESTORS: Wells Fargo broker Brian Michael Jackson was named in a customer dispute alleging unsuitable investment recommendations. Brian Michael Jackson (CRD: 4733834) is registered as[...]
INVESTORS: Former Worden Capital Management broker Mark Sam Kolta named in multiple customer disputes alleging unsuitable investment recommendations. Mark Sam Kolta (CRD: 5324620) was registered[...]
INVESTORS: Landolt Securities broker Bret Clinton Schaefer was named in a customer dispute alleging unauthorized trading and unsuitable investment recommendations. Bret Clinton Schaefer (CRD: 2577117)[...]
INVESTORS: Former JP Morgan broker Paul Michael Fiacable was named in a customer dispute alleging breach of fiduciary duty and misappropriation of funds. Paul Michael[...]
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[...]