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[...]
Broker / Advisor Investigations
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.[...]
James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes
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[...]
INVESTORS: FINRA has suspended Roland Terrence Molo from the securities industry indefinitely after he failed to respond to FINRA’s requests for information. Roland Terrence Molo[...]
Rodriguez is facing six pending customer disputes. Jesus Rodriguez (CRD: 5534184) was registered as a broker with Morgan Stanley from 2009 until 2021. Previously, Rodriguez[...]
Giordano was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Joseph Michael Giordano (CRD: 4737649) is registered as a broker with[...]
Birardi was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Roberto Birardi (CRD: 4737649) is registered as a broker with Aegis[...]