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[...]
Broker / Advisor Investigations
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[...]
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,[...]
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[...]