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Reza Hamid Taraz, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations

By |2023-03-03T10:39:40-05:00March 1st, 2023|Broker / Advisor Investigations|

INVESTORS: Ameriprise Financial Services broker Reza Hamid Taraz was named in customer dispute alleging unsuitable investment recommendations. Reza Hamid Taraz (CRD: 4079866) is registered as a broker and investment adviser with Ameriprise Financial Services, where he’s been employed since 2000. Taraz was previously registered as a broker with IDS Life Insurance Company from 2000 until [...]

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Garrett Wayne Moretz, Broker with Lifemark Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds

By |2023-03-03T10:36:53-05:00February 28th, 2023|Broker / Advisor Investigations|

INVESTORS: Lifemark Securities broker Garrett Wayne Moretz was named in customer dispute alleging unsuitable recommendations in GWG L-Bonds. Garrett Wayne Moretz (CRD: 4086791) is registered as a broker and investment adviser with Lifemark Securities, where he’s been employed since 2017. Moretz was previously registered as a broker with First Heartland Capital from 2009 until 2017. [...]

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Caz Craffy Has Been Barred from the Financial Services Industry and Faces Lawsuits from Clients He Allegedly Fleeced

By |2023-02-28T09:57:09-05:00February 28th, 2023|Broker / Advisor Investigations|

BREAKING NEWS (February 28, 2023): The Washington Post is reporting that four military families have accused Caz Craffy of taking direct control of their life insurance money while he was employed by New Jersey-based Monmouth Capital Management. The families allege that Craffy exploited their grief and leveraged his position to generate clients, making trades that [...]

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Linda Jill Wimsatt, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds

By |2023-03-03T10:33:53-05:00February 27th, 2023|Broker / Advisor Investigations|

INVESTORS: American Trust Investment Services broker Linda Jill Wimsatt was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Linda Jill Wimsatt (CRD: 1401802) is registered as a broker and investment adviser with American Trust Investment Services, where she’s been employed since 2022. Wimsatt was previously registered as a broker [...]

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Thomas Brian Swan, Broker with Western International Securities, Charged by SEC Under Regulation Best Interest for Recommending Unsuitable Investment Recommendations in GWG-L Bonds

By |2023-03-03T10:30:35-05:00February 26th, 2023|Broker / Advisor Investigations|

INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L bonds. Thomas Brian Swan (CRD: 1698430) is registered as a broker and investment adviser with Western International Securities, where he’s been employed since 2008. Swan was previously registered as a [...]

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Scot Barringer, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds

By |2023-03-03T10:11:51-05:00February 25th, 2023|Broker / Advisor Investigations|

INVESTORS: American Trust Investment Services broker Scot Barringer was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Scot Barringer (CRD: 13585168) is registered as a broker and investment adviser with American Trust Investment Services, where he’s been employed since 2020. Barringer was previously registered as a broker with WestPark [...]

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Lauren Razar Matles, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions

By |2023-03-03T10:08:04-05:00February 24th, 2023|Broker / Advisor Investigations|

INVESTORS: Wells Fargo broker Lauren Razar Matles was named in customer dispute alleging failure to follow instructions. Lauren Razar Matles (CRD: 2945465) is registered as a broker and investment adviser with Wells Fargo, where she’s been employed since 2011. Matles was previously registered as a broker with Wells Fargo Investments from 2008 until 2011. Matles [...]

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Johanna Elise Laudicina, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions

By |2023-03-03T10:05:22-05:00February 23rd, 2023|Broker / Advisor Investigations|

INVESTORS: Wells Fargo broker Johanna Elise Laudicina was named in customer dispute alleging failure to follow instructions. Johanna Elise Laudicina (CRD: 5662931) is registered as a broker and investment adviser with Wells Fargo, where she’s been employed since 2014. Laudicina was previously registered as a broker with UBS Financial from 2012 until 2014. Laudicina has [...]

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Steven Todd Standley, Broker with D.H. Hill Securities, Named in Customer Dispute Alleging Unsuitable Losses in GWG-L Bonds

By |2023-03-03T09:57:43-05:00February 22nd, 2023|Broker / Advisor Investigations|

INVESTORS: D.H. Hill Securities broker Steven Todd Standley was named in customer dispute following allegations of unsuitable investments in GWG-L bonds. Steven Todd Standley (CRD: 4282051) is registered as a broker and investment adviser with D.H. Hill Securities, where he’s been employed since 2007. Standley was previously registered as a broker with OneAmerica Securites from [...]

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