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[...]
Broker / Advisor Investigations
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[...]
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[...]
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,[...]