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[...]
Broker / Advisor Investigations
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[...]
The client is seeking over $250k in damages for Hein’s alleged misconduct. Steven Ira Hein (CRD#: 4433826) is registered as a broker and investment adviser[...]
The client is seeking over $150k in damages for Kirwan’s alleged misconduct. Kyle Jensen Kirwan (CRD#: 5088691) is registered as a broker and investment adviser[...]
Anderson was discharged from Cetera Advisors in 2019 based on allegations of misconduct. Todd Ray Anderson (CRD#: 1896352) is registered as a broker and investment[...]
One client is seeking $500K in damages for Valenzuela’s alleged misconduct. Francisco Javier Valenzuela (CRD#: 2786970) was registered as a broker with Morgan Stanley from[...]