Heckler reportedly operated a decade-long investment adviser fraud through two hedge funds. The SEC charged South Carolina-based George Heckler for operating a decade-long investment adviser[...]
Broker / Advisor Investigations
O’Neill was discharged from Aegis Capital Corporation for failing to keep the firm updated on his enforcement investigation. Daniel James O’Neill (CRD#: 1358245) was previously[...]
Thompson is accused of selling more than $19 million in unregistered securities. The SEC charged Geoffrey Thompson, an Illinois resident, with illegally selling more than[...]
Long has been the subject of four customer disputes since May 2021. Narith Long (CRD#: 6598152) was previously registered as a broker with NYLife Securities[...]
The customer is seeking $1.7 million in damages for Fedorko’s alleged misconduct. Joseph Michael Fedorko Jr. (CRD#: 2007317) is registered as a broker with Laidlaw[...]
Mancini is accused of operating a fraudulent scheme to obtain money from investors. On July 20, 2021, Samuel J. Mancini was arrested in connection with[...]
Sexton was accused of making negligent misrepresentations on an economic injury disaster loan application to the Small Business Administration. Kenric Lamont Sexton (CRD#: 2937074) was[...]
Chang voluntarily resigned from Morgan Stanley following the customer dispute. Henry Chia-How Chang (CRD#: 4049732) is registered as a broker and investment adviser with Laidlaw[...]
The client alleged that Naughton’s recommendation that he invest in an REIT was unsuitable for his portfolio. Patrick William Naughton (CRD#: 2180840) is registered as[...]
The client is seeking $500k in damages for Upchurch’s alleged misconduct. Mark Allen Upchurch (CRD#: 2937074) was registered as a broker with Centaurus Financial from[...]