Broker / Advisor Investigations

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[...]

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[...]