Richman and Apte are accused of falsely representing to investors that uBiome was a successful start-up. On March 18, 2021, the SEC charged Jessica Richman[...]
Broker / Advisor Investigations
Goodman is also the owner of Becoming Financial Group and Becoming Financial Advisory Services. The US Attorney’s Office for the District of Minnesota announced one[...]
Cohn, who previously worked for the SEC, pled guilty to improperly accessing and disclosing confidential information in the fall. Michael Cohn, former chief compliance officer[...]
FINRA alleged that Trujillo acted unreasonably in the face of information indicating violative trading practices. Efrain Trujillo (CRD#: 3106482) is registered as a broker and[...]
The customer alleged that Wurdemann misrepresented the nature of three mutual fund investments. Brian Wurdemann (CRD#: 4206425) is registered as a broker and investment adviser[...]
Michael Shillin, Barred Wisconsin Broker, Named in Five New Customer Disputes in February 2021 Alone
Shillin is currently facing nineteen pending customer disputes Michael Shillin (CRD#: 5927156) was registered as a broker Alliance Global Partners (“AGP”) from 2018 until 2020.[...]
Warner is also facing a pending customer dispute alleging he engaged in selling away. George Marshall Warner (CRD#: 2300570) was registered as a broker with[...]
Baptiste was being investigated based on alleged participation in unapproved outside business activity. Nedjeen Baptiste (CRD#: 6308317) was registered as a broker with JP Morgan[...]
The customer disputes are seeking over $1M in damages, collectively. Jason Dworak (CRD#: 2434370) is currently registered as a broker and investment adviser with UBS[...]
FINRA was investigating allegations that Bedwell forged documentation to invest in a Ponzi scheme. Rhett Bedwell (CRD#:5664392) was registered as a broker with LPL Financial[...]