Diana M. Leon, an Osaic Wealth broker and investment adviser representative, is the subject of customer dispute disclosures reported on her FINRA BrokerCheck profile. According to FINRA BrokerCheck, Leon is currently registered with Osaic Wealth, Inc. Her BrokerCheck report lists 3 customer dispute disclosures and 1 termination disclosure. Official sources: FINRA BrokerCheck profile for Diana [...]
John Thomas Hardiman, a Janney Montgomery Scott broker and investment adviser representative, is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Hardiman is currently registered with Janney Montgomery Scott LLC. His BrokerCheck report lists 4 customer dispute disclosures and 1 termination disclosure. Official sources: FINRA BrokerCheck [...]
David Nathan Cohen, a former Cetera Investment Services broker, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Cohen is not currently registered as a broker. His BrokerCheck report lists 1 regulatory event, 3 customer dispute disclosures, 1 termination disclosure, and 3 judgment/lien disclosures. Official sources: FINRA [...]
Kevin Christopher McCarthy, a former Madison Avenue Securities broker based in Hialeah, Florida, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, McCarthy is not currently registered as a broker. His BrokerCheck report lists 1 regulatory event, 4 customer dispute disclosures, 1 termination disclosure, and 1 financial [...]
Ejiro Ode Okuma, a former Equitable Advisors and Edward Jones broker, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Okuma is not currently registered as a broker. His BrokerCheck report lists 2 regulatory events, 1 civil event, 1 customer dispute, and 1 termination disclosure. Official sources: [...]
Sam Bhushan, also known as Sameer Bhushan, is a former Cabin Securities broker who is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Bhushan is not currently registered as a broker. His BrokerCheck report lists 10 customer dispute disclosures, including 9 pending customer disputes and 1 [...]
Sonn Law Group is monitoring several recent FINRA BrokerCheck disclosures involving brokers and financial professionals connected to customer disputes over hedge funds, structured notes, exchange-traded notes, DSTs, private placements, variable annuities, and other alternative investment products. The matters summarized below are based on publicly available FINRA BrokerCheck reports. The allegations reported in BrokerCheck are allegations [...]
Stephen Pavey Meskan, a Cabot Lodge Securities broker and CL Wealth Management investment adviser representative, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Meskan is currently registered with Cabot Lodge Securities LLC and CL Wealth Management LLC. His BrokerCheck report lists 4 customer dispute disclosures, 1 [...]
William Shyan Chan, a Citigroup Global Markets broker, is the subject of customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Chan is currently registered with Citigroup Global Markets Inc. His BrokerCheck report lists 2 customer dispute disclosures, including 1 pending customer dispute and 1 final or denied customer dispute. (FINRA [...]
