The client is seeking $950K in damages for Garza-Clark’s alleged misconduct. Janie Garza-Clark (CRD#: 1010752) was registered as a broker with TCFG Wealth Management from[...]
Broker / Advisor Investigations
Katz was being investigated by FINRA based on allegations of unsuitable recommendations, forging signatures, and failure to timely disclose certain judgments and liens. Nathan Gersteen[...]
The claimants are seeking over $1.5M in damages, collectively. Stephen “Steve” Berrocal (CRD#: 3071400) is registered as a broker and investment adviser with Truist Investment[...]
Bice has three customer disputes currently pending against him. Christopher “Cubby” Bice (CRD#: 3222439) is registered as a broker and financial advisor with SagePoint Financial,[...]
The customer is seeking $173K in damages for Fenning’s alleged misconduct. David Fenning (CRD: 1005307) is registered as a broker and investment adviser with Morgan[...]
FINRA sought information from Kresiberg concerning his potential participation in a private placement offering. Louis Kreisberg (CRD: 1352881) was registered as a broker Pickwick Capital[...]
Matthes was previously charged by the SEC with defrauding clients. Edward “Ed” Matthes (CRD: 2788055) was registered as a broker with Mutual of Omaha Investor[...]
McGonigle is charged with three counts of wire fraud, one count of mail fraud, and one count of aggravated identity theft. Paul Richard McGonigle (CRD:[...]
The SEC’s lawsuit alleges that Brodman operated the scheme through his company from 2016 until 2020. The SEC alleged that Brodman founded Property Income Investors[...]
Senglaub is accused of recommended unsuitable alternative investments. James “Jim” Senglaub (CRD: 1060459) is currently registered as a broker and investment adviser with Independent Financial[...]