The client is seeking $130,000 in damages for the misrepresentation of alternative investments. John Gilbert Simpson (CRD: 5157555) was registered as a broker with JP[...]
Broker / Advisor Investigations
Fergang is accused of making 814 transactions in four customers’ accounts. Scott Fergang (CRD: 1758758) is registered as a broker and investment adviser with Stifel,[...]
Investors should seek damages after Harbor City Corp. owner recommended investments that were unsuitable. The SEC announced on April 26th that it had filed an[...]
Sonn Law Group has been retained to represent an investor in the Ponzi scheme operated by Larry Ramos. The U.S. Attorney’s Office for the Southern[...]
Evans Has been barred after they refused to provide information Joia Evans (also known as Joia Thomas or Joia Webb)(CRD: 6328012) was registered as a[...]
Melilli is also accused of making unauthorized trades and forging customer signatures on account documents. David John Melilli (CRD: 5254172) was registered as a broker[...]
Greenfield has been the subject of five settled customer disputes in the past five years. Michael Robert Greenfield (CRD: 5406611) is registered as a broker[...]
Maguire is accused of using material, nonpublic information as a basis for making trades. Brian Maguire (CRD: 5011014) was registered as a broker with Goldman[...]
FINRA was investigating Cox’s termination due to alleged participation in outside business activities. Gilbert Cox (CRD: 2973703) was registered as a broker with Citizen Securities[...]
Melen is also accused of accepting loans from clients without approval from Morgan Stanley. Steven Melen (CRD: 2357251) is registered as a broker and investment[...]