The claimant is seeking $730K in damages for Stallones’s alleged misconduct. Walter “Leighton” Stallones (CRD: 433344) is currently registered as a broker with Momentum Independent[...]
Broker / Advisor Investigations
The dispute was settled for slightly above $24 million. Dermond Thomas Cavanaugh (CRD: 4030821) was registered as a broker with Merrill Lynch from 2007 until[...]
Baer is accused of making material misrepresentations and committing elder abuse. Richard Evan Baer (“Rich Baer”) (CRD: 848798) is registered as a broker and investment[...]
The claimant alleges that Bunger recommended unsuitable investments and engaged in elder abuse. Brent Charles Bunger (CRD: 1488149) is registered as a broker and investment[...]
FINRA was investigating Birkley’s admission that he made referrals to an outside asset manager without approval. Grant Christopher Birkley (CRD: 2933533) was registered as a[...]
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[...]
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[...]