The customer is seeking over $200K in damages based on Davern’s alleged misconduct. Cory Davern (CRD#: 2945772) is currently registered as a broker and investment[...]
Broker / Advisor Investigations
Nigro is accused of recommending that his clients invest their retirement in a single mutual fund. Michael Nigro (CRD#: 2097646) is currently registered as a[...]
Schaedler was also accused of improperly receiving a $200K gift from an elderly client. James Schaelder Jr. (CRD#: 4264512) was registered as a broker with[...]
Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds
Pitsironis is accused of defrauding former clients of more than $400K. Apostolos Pitsironis (CRD#: 2804907) was registered as a broker with Janney Montgomery Scott from[...]
Cowden is also facing two pending customer disputes. Cynthia Cowden (CRD#: 2054676) was registered as a broker with NPB Financial Group from 2013 until 2020.[...]
Rando was being investigated by FINRA based on her termination from Wells Fargo in October 2020. Valerie Ceballos (CRD#: 6904661) was registered as a broker[...]
Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information
Rando was being investigated by FINRA for possible engagement in an undisclosed outside business activity. Brian Rando (CRD#: 2558458) was registered as a broker with[...]
Garrett also has a pending criminal charge for embezzlement. Matthew Douglas Garrett (CRD#: 6485387) was registered as a broker with MML Distributors in Cordova, TN,[...]
Levine was also barred by the SEC from associating with any broker-dealer or investment adviser in Colorado. Daniel Levine (CRD#: 2874319) was registered as a[...]
Rivera allegedly recommended unsuitable investments to an elderly couple which resulted in significant losses. Miguel Rivera Jr. (CRD#: 3060928) was registered as a broker with[...]