INVESTORS: Former Morgan Stanley broker Pawan Kumar Passi was named in a customer dispute alleging misrepresentation. Pawan Kumar Passi (CRD: 5527731) was registered as a broker with Morgan Stanley from 2010 until 2022. Passi has three disclosures on his BrokerCheck report. November 2022 Employment Separation After Allegations Firm Name: Morgan Stanley & Co. LLC Termination [...]
INVESTORS: LPL Financial broker Michael Glenn Chandler was named in customer dispute alleging recommendation of unsuitable investments and overconcentration. Michael Glenn Chandler (CRD: 5532695) is registered as a broker and financial adviser with LPL Financial, where he’s been employed since 2022. Previously, Chandler was registered as a broker with Infinex Investments from 2013 until 2022. [...]
INVESTORS: Aegis Capital broker Michael Vincent Restagno was named in multiple customer disputes alleging recommendation of unsuitable investments. Michael Vincent Restagno (CRD: 5532695) is registered as a broker with Aegis Capital, where he’s been employed since 2017. Previously, Restagno was registered as a broker with National Securities Corporation from 2008 until 2017. Restagno has three [...]
INVESTORS: Former Pruco Securities broker Robert Leo Luley Jr. was named in multiple customer disputes alleging recommendation of unsuitable investments. Robert Leo Luley Jr. (CRD: 4176139) was registered as a broker with Pruco Securities from 2020 until 2022. Previously, Luley was registered as a broker with Madison Avenue Securities from 2014 until 2018. Luley has [...]
INVESTORS: Former Richfield Orion International broker Palmery Robert Desir was suspended by FINRA following allegations he made excessive and unsuitable trades in customers’ accounts. Palmery Robert Desir (CRD: 5559016) was registered as a broker with Richfield Orion International from 2018 until 2022. Previously, Desir was registered as a broker with Joseph Stone Capital from 2016 [...]
INVESTORS: Former PFS Investments broker Steven Kiyoto Hirata was barred by FINRA following allegations he refused to provide documents and information requested by FINRA. Steven Kiyoto Hirata (CRD: 1188927) was registered as a broker with PFS Investments from 2010 until 2021. Previously, Hirata was registered as a broker with PFS Investments from 1984 until 2009. [...]
INVESTORS: Los Angeles-based brokerage firm Wedbush Securities, Inc. was fined $975,000 by FINRA for failing to ensure it had appropriate systems and controls in place to detect market abuse. FINRA fined Los Angeles-based brokerage firm Wedbush Securities, Inc., $975,000 for failing to ensure they had appropriate systems and controls in place to detect market abuse. [...]
INVESTORS: Former LPL Financial broker John Nicholas Matson was barred by FINRA following allegations he refused to provide documents and information requested by FINRA. John Nicholas Matson (CRD: 1796541) was registered as a broker with LPL Financial from 2017 until 2022. Previously, Matson was registered as a broker with Ameriprise Financial Services from 2015 until [...]
If you invested in "10X" or with Cardone Capital based on any misleading information published by Cardone on social media, with promises of high investment returns, you may be able to recover losses. A federal judge has approved investor claims to proceed to seek recovery of their investments. Last year in California a class action [...]
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