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[...]
Broker / Advisor Investigations
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[...]
Sanguinet is accused of recommending an investment in Zona Energy, Inc. Brian Adam Sanguinet (CRD: 5927901) is registered as a broker and investment adviser with[...]
Dixon was terminated from his member firm based on allegations of violating firm policies regarding use of non-genuine client signatures. William “Bill” Dixon (CRD: 68881)[...]
Viyella was being investigated by FINRA regarding participation in undisclosed private securities transactions. Candido Jose Viyella (CRD: 1829255) was registered as a broker with Morgan[...]
Dipaola is accused of exercising discretion in his mother’s investment account without written authorization and without notifying his member firm. Jason “Jay” Dipaola (CRD: 2648836)[...]
Drever is accused of providing false information to investors about a real estate fund. Maxwell Drever was charged by the SEC with misleading investors in[...]