Burish is accused of recommending a strategy that was unsuitable and risky. Andrew Burish (CRD: 1111163) is registered as a broker and investment adviser with[...]
Broker / Advisor Investigations
Hersch is accused of breach of fiduciary duty, constructive fraud, and negligence, among other forms of misconduct. Gregory Hersch (CRD: 3254629) is registered as a[...]
Allegations of laddered Call Options Strategy on Apple Stock A dispute was first reported in December 2020 as: Allegations: The customer alleged an unsuitable laddered call[...]
Scott faced a FINRA investigation into potential undisclosed outside business activities. John Lee Scott (CRD:2407619) was registered as a broker with LPL Financial from 2017[...]
The customer is seeking $20,000 following allegations that the securities purchased were unsuitable. David Michael Logsdon (CRD: 4178266) is registered as a broker and investment[...]
The client is seeking $101K in damages in connection with the allegations. Sean Westbrook (CRD: 5090374) is registered as a broker and investment adviser with[...]
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[...]
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[...]