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[...]
Broker / Advisor Investigations
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[...]
Last Updated: December 3, 2021 INVESTORS: FINRA has barred Jeffrey Dampf from the securities industry after he refused to provide testimony and documents in connection[...]
FINRA initiated an investigation into New’s participation in the sale of promissory notes. Alan Harold New (CRD#: 2892508) was registered as a broker with NYLife[...]
Snyder is accused of making excessive and unauthorized trades. Barry Steven Snyder (CRD#: 2385901) was registered as a broker with Snowden Account Services from September[...]