GPB Capital is embroiled in legal turmoil amid allegations of operating a Ponzi scheme. Abhishek Sheth (CRD: 4656005) is registered as a broker and investment[...]
Broker / Advisor Investigations
The claimant alleges that Ard made unsuitable investment recommendations. William “Bill” Ard (CRD: 1133673) is registered as a broker and investment adviser with Morgan Stanley,[...]
The claimant alleges that Olson made unsuitable investment recommendations. Leif David Olson (CRD: 2277495) is registered as a broker and investment adviser with Wells Fargo,[...]
The claimant is seeking $800,000 in damages for Loofbourrow’s misconduct. John Wade Loofbourrow (CRD: 312494) was registered as a broker with Demopolis Capital from 1983[...]
The plaintiffs are seeking over $600k in damages. James Frederic Bowdish (CRD: 3123554) is registered as a broker and financial adviser with Edward Jones where[...]
The claimants are seeking over $150k in damages for Molnar’s alleged misconduct. Rudolf “Rudy” Molnar (CRD: 3211892) is registered as a broker and financial adviser[...]
Barrand has three pending customer disputes seeking $300k in damages, collectively. Mark Barrand (CRD: 4586528) is registered as a broker and financial adviser with Ameriprise[...]
FINRA was investigating Belardino based on allegations of misrepresentation. Adam Belardino (CRD: 5221927) was registered as a broker with MML Investors Services from 2017 until[...]
Larson is accused of recommending an investment in Zona Energy, Inc. Randy Scott Larson (CRD: 6175826) is registered as a broker and investment adviser with[...]
Miller is accused of recommending an investment in Zona Energy, Inc. Joey Dale Miller (CRD: 6175826) is registered as a broker and investment adviser with[...]