Rahn was also the subject of a regulatory judgment entered by the State of Washington Securities Division. Scott Robert Rahn (CRD#: 1959522) was registered as[...]
Broker / Advisor Investigations
FINRA was investigating whether Kleydman engaged in private securities transactions without providing written notice. Edgar Kleydman (CRD#: 2727571) was registered as a broker with MML[...]
Worden is also facing ten pending customer disputes. Jamie John Worden (CRD#: 4637404) was registered as a broker with Worden Capital Management from 2009 until[...]
The customer disputes are seeking $1.9M in damages, collectively. James Wightman Wilcox (CRD#: 4261884) is registered as a broker and investment adviser with First Republic[...]
Palumbo is also facing a pending customer dispute alleging material misrepresentations and omissions. Nicholas R. Palumbo (CRD#: 1069948) was registered as a broker with Park[...]
Wargo is also accused of negligence, breach of fiduciary duty, and material misrepresentations and omissions. Louis Martin Wargo (CRD#: 1416101) is registered as a broker[...]
The customer is seeking $580k in damages for Hartvigson’s alleged misconduct. Brett Arthur Hartvigson (CRD#: 2263087) is registered as a broker and investment adviser with[...]
The customers allege that Johnson recommended high-risk and illiquid alternative investments. William Colie Johnson (CRD#: 3174473) is registered as a broker and investment adviser with[...]
Additionally, De Leeuw failed to respond to FINRA’s request to provide information concerning the status of compliance. Perry De Leeuw (CRD#: 4792703) was registered as[...]
Fortner has two pending customer complaints arising out of the same misconduct. Jeremy Fortner (CRD#: 4811478) was registered as a broker with Wells Fargo from[...]