Broker / Advisor Investigations

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[...]

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[...]

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[...]

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[...]

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,[...]