David Ferwerda (CRD#: 832431) is a former broker and registered investment advisor. From 2012 to 2018, Mr. Ferwerda was employed at Signator Investors, Inc. in[...]
Investment Loss Investigations
Bruce Arnold Plyer (CRD#: 1666324) is a previously registered broker and investment advisor. From 2009 to 2016, Mr. Plyer was employed at the brokerage firm[...]
Ami K. Forte (CRD#: 2457536) is a former broker and registered investment advisor. From 2009 to 2016, Ms. Forte was employed at Morgan Stanley based[...]
Chris R. Kubiak (CRD#: 1527367) is a former broker and investment advisor. From July of 2017 to October of 2018, Mr. Kubiak was employed at[...]
David Fagenson (CRD#: 1652012) is currently employed as a broker at Newbridge Securities Corporation in Boca Raton. Prior to joining this brokerage firm, Mr. Fagenson[...]
A former registered broker and investment advisor, Darrell Smith (CRD#: 1685641) was barred from the securities industry in November of 2014. Prior to his expulsion,[...]
The former host of a financial services radio show, Dawn Bennett (CRD#: 1567051) was a registered representative of Western International Securities, Inc. (CRD#: 39262) from[...]
John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in[...]
At Sonn Law Group, our securities fraud lawyers are currently investigating claims that Sheaff Brock Investment Advisors, LLC (CRD# 118739 / SEC# 801-60978) implemented unsuitable[...]
From 2011 to 2017, John-Aaron Lenhert (CRD#: 5989046) was employed as a broker and investment advisor at Morgan Stanley in Laguna Niguel, California. In January[...]