Francoeur was accused of assisting a client with an unapproved investment. Michael Paul Francoeur (CRD: 5534184) was registered as a broker with Cambridge Investment Research[...]
Broker / Advisor Investigations
William LeBoeuf is accused of using his personal email to solicit a family member to invest in a pooled real estate investment fund, in addition[...]
Tang is facing two pending customer disputes over the allegations. Clara Tang (CRD: 4852979) was registered as a broker with Cetera Investment Services from 2012[...]
Melilli is also accused of recommending unsuitable investments and forging customer signatures on account documents. David John Melilli (CRD: 5254172) was registered as a broker[...]
Manning is accused of maintaining an outside securities account without notifying his member firm. Garrett Manning (CRD#: 6887127) is registered as a broker and investment[...]
As a result of the failure, Nash’s California securities license was revoked. Adam Jeffrey Nash (CRD#: 6476261) was registered as a broker with Pruco Securities[...]
Nergard was suspended by the Arizona Corporation Commission Securities Division. Guilford Ward Nergard (CRD#: 2360614) was registered as a broker with Raymond James & Associates[...]
Rahmani is also accused of providing false or misleading information to FINRA during its investigation. Abdul Matin Rahmani (CRD#: 4269583) was registered as a broker[...]
Korsch is facing six pending customer disputes total. Marc Frederick Korsch (CRD#: 5525226) was registered as a broker with Arkadios Capital in 2021. Previously, Korsch[...]
Torriente has two customer disputes currently pending against him. William Edward Torriente Jr. (CRD#: 4255814) was registered as a broker with Comerica Securities from 2009[...]