Simmons is accused of making unsuitable investment recommendations in 2020. Keith Simmons (CRD#:730619) is currently registered as a broker and investment adviser with Merrill Lynch,[...]
Broker / Advisor Investigations
Cohen has two pending customer disputes filed against him. Darryl Cohen (CRD#: 2786613) is currently registered as a broker and investment adviser with Morgan Stanley,[...]
The customer also alleged Proctor of misrepresentation and breach of fiduciary duty. Tamber King Proctor (CRD#: 4316378) was previously registered as a broker with Securities[...]
FINRA initiated an investigation into the circumstances giving rise to San Nicolas’s termination from Edward Jones. Javelin “Jovi” Mikol San Nicolas (CRD#: 6722186) was previously[...]
Patatian is accused of recommending unsuitable non-traded REITs to customers. Megurditch Mike Patatian (CRD#: 4047060) was most recently registered as a broker with Supreme Alliance[...]
Smerling is facing possible jail time and a serious fine after accusations of forging investment documents to receive a hefty loan The Miami Herld is[...]
FINRA was investigating Jenson based on allegations of unsuitable investment recommendations. David Jenson (CRD#: 1333734) was registered as a broker with Great Nation Investment Corporation[...]
Reed is also facing regulatory action by the Arizona Corporation Commission. Scott Reed (CRD#: 3007033) was previously registered as a broker and a financial adviser[...]
The client sought over $69M in damages based on the misconduct. Evan Schottenstein (CRD#: 4929175) was registered as a broker with JP Morgan from 2014[...]
The customer accused Schottenstein of fraud, abuse of fiduciary duty, and misrepresentation. Avi Elliot Schottenstein (CRD#: 5708665) was registered as a broker with JP Morgan[...]