The customer is seeking $173K in damages for Fenning’s alleged misconduct. David Fenning (CRD: 1005307) is registered as a broker and investment adviser with Morgan[...]
Broker / Advisor Investigations
FINRA sought information from Kresiberg concerning his potential participation in a private placement offering. Louis Kreisberg (CRD: 1352881) was registered as a broker Pickwick Capital[...]
Matthes was previously charged by the SEC with defrauding clients. Edward “Ed” Matthes (CRD: 2788055) was registered as a broker with Mutual of Omaha Investor[...]
McGonigle is charged with three counts of wire fraud, one count of mail fraud, and one count of aggravated identity theft. Paul Richard McGonigle (CRD:[...]
The SEC’s lawsuit alleges that Brodman operated the scheme through his company from 2016 until 2020. The SEC alleged that Brodman founded Property Income Investors[...]
Senglaub is accused of recommended unsuitable alternative investments. James “Jim” Senglaub (CRD: 1060459) is currently registered as a broker and investment adviser with Independent Financial[...]
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[...]
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[...]