INVESTORS: Hilltop Securities broker Stephen Robert Coma was named in customer disputes seeking $13M in damages. Stephen Robert Coma (CRD#: 1414147) is registered as a broker with Hilltop Securities, where he’s been employed since 2020. Previously, Coma was registered as a broker with BB&T Securities. Coma has one disclosure on his BrokerCheck report. June 2022 [...]
INVESTORS: Merrill Lynch broker William Worthen King was named in customer disputes alleging unauthorized trading. William Worthen King (CRD#: 1432593) is registered as a broker and investment adviser with Merrill Lynch, where he’s been employed since 1985. King has eight disclosures on his BrokerCheck report. Three customer disputes filed against King were closed with no [...]
INVESTORS: NI Advisors broker Shirley Ank Wong was named in a customer dispute alleging failure to supervise and unsuitable investment recommendations. Shirley Ank Wong (CRD#: 4869184) is registered as a broker with NI Advisors, where she’s been employed since 2014. Wong was previously registered as a broker with World Group Securities from 2007 until 2008. [...]
INVESTORS: Cadaret, Grant & Co. broker Michele McAdoo Fane was named in a customer dispute alleging failure to supervise. Michele McAdoo Fane (CRD#: 858728) is registered as a broker with Cadaret, Grant & Co., where she’s been employed since 2022. Fane was previously registered as a broker with Western International Securities from 2000 until 2022.. [...]
INVESTORS: VCS Venture Securities broker Adam Maggio was named in a customer dispute alleging various forms of broker misconduct. Adam Maggio (CRD#: 4177365) is registered as a broker with VCS Venture Securities, where he’s been employed since 2021. Maggio is also registered as a broker with Joseph Stone Capital, where he’s been employed since 2013. [...]
INVESTORS: Ameriprise Financial Services broker Thais Drummond Piotrowski was named in a customer dispute alleging unsuitable investment recommendations. Thais Drummond Piotrowski (CRD#: 4729077) is registered as a broker with Ameriprise Financial Services, where he’s been employed since 2004. Previously, Piotrowski was registered as a broker with IDS Life Insurance Company from 2004 until 2006. Piotrowski [...]
INVESTORS: Former Stifel, Nicolaus & Company broker Robert Earl Turner was barred by FINRA following allegations he participated in private securities transactions without providing prior written notice to his member firm. Robert Earl Turner (CRD#: 2113736) was registered as a broker with Stifel, Nicolaus & Company from 2021 until 2022. Previously, Turner was registered as [...]
Attention Clients of Joshua W. Coleman: The SEC has alleged that the Pennsylvania-based former investment adviser fraudulently obtained hundreds of millions in loans by pledging over $160 million in client assets as collateral. If you were a client of Josh Coleman's, you may have claims for damages. Click to Get Help Now Or, call us [...]
INVESTORS: LPL Financial broker Altin Tirana was suspended by FINRA following allegations he falsified the representative code for trades in his member firm's order entry system. Altin Tirana (CRD: 4837498) is registered as a broker and financial adviser with LPL Financial, where he’s been employed since 2020. Previously, Tirana was registered as a broker with [...]
Investor recovery and securities fraud attorneys representing investors nationwide.
Speak With an Investor Rights Attorney – 1.844.689.5754
© 2012 - 2026 Sonn Law Group • Investor Intelligence • Securities Fraud • FINRA Arbitration • All Rights Reserved
