The client alleged that Naughton’s recommendation that he invest in an REIT was unsuitable for his portfolio. Patrick William Naughton (CRD#: 2180840) is registered as[...]
Broker / Advisor Investigations
The client is seeking $500k in damages for Upchurch’s alleged misconduct. Mark Allen Upchurch (CRD#: 2937074) was registered as a broker with Centaurus Financial from[...]
Paesano has been named in sixteen customer disputes that ended in a settlement. Michael Frank Paesano (CRD#: 1557229) was registered as a broker with Morgan[...]
Bowman’s unsuitable recommendations allegedly caused his customers to incur unnecessary sales charges. Gary Max Bowman (CRD#: 2035699) is registered as a broker and investment adviser[...]
Geake has been the subject of five customer complaints since 2020. David Richard Geake (CRD#: 3088891) is registered as a broker and investment adviser with[...]
Haynes is accused of recommending investments that were complex and illiquid. Jan Earl Haynes (CRD#: 833875) was registered as a broker with Integrity Brokerage Services[...]
Rigsbee refused to provide information and documents requested in FINRA’s investigation into his misconduct. Tyler Rigsbee (CRD#: 6351278) was registered as a broker with Wells[...]
Szempruch was suspended based on allegations of unsuitable trading practices. Douglas Edward Szempruch (CRD#: 4159318) was registered as a broker with Aegis Capital Corp. from[...]
FINRA launched an investigation into Swon after allegations that he misappropriated client funds. John Henry Swon (CRD#: 5591686) was registered as a broker with Royal[...]
The clients are seeking over $250K, collectively, for Beviano’s alleged misconduct. Philip Donald Beviano Jr. (CRD#: 2516187) is registered as a broker and investment adviser[...]