Investment Loss Investigations

Terry Lee McCoy (CRD#: 1476696) is a previously registered broker and investment advisor. From 2009 to 2016, Mr. McCoy was employed at Morgan Stanley in[...]

On June 19th, 2018, the SEC announced that investment fraud charges have been filed against five men and three companies, including the following: Perry Santillo;[...]

Justin Travis Mair (CRD#: 5143515) is a previously registered broker and financial advisor. From 2012 to 2016, Mr. Mair was employed at Morgan Stanley based[...]

Bradley Gardner (CRD#: 4423724) is a former registered broker and investment advisor. From 2012 to 2017, Mr. Gardner was a representative of LPL Financial based[...]

On June 11th, 2018, the Securities and Exchange Commission (SEC) announced publicly that it has obtained an emergency order to halt a securities offering from[...]

Kevin Graetz (CRD#: 1935982) is a previously registered securities broker. Mr. Graetz was most recently associated with Paulson Investment Company in New York City. This[...]

Douglas Leone (CRD#: 2453784) is a formerly registered securities broker. From 2013 to 2017, Mr. Leone was employed at Salomon Whitney Financial in Melville, New[...]

Gary Adkin (CRD#: 3084484) is an actively registered securities broker and investment advisor. Since 2015, Mr. Adkin has been employed at Stifel, Nicolaus & Company.[...]

Laurence Torres (CRD#: 2821373) is a previously registered broker. Most recently, Mr. Torres was employed at First Standard Financial Capital (2014-2016), Alexander Capital (2012-2014), Brookstone[...]

On June 6th, 2018, InvestmentNews.com reported that state securities industry regulators and the Financial Industry Regulatory Authority (FINRA) are ramping up enforcement action against registered[...]