INVESTORS: LPL Financial broker Richard Alan Maas was named in a customer dispute alleging lack of diversification. Richard Alan Maas (CRD: 5921560) is registered as a broker and investment adviser with LPL Financial, where he’s been employed since May 2022. Previously, Maas was registered as a broker with Cambridge Investment Research from 2001 until 2022. [...]
INVESTORS: UBS Financial Services broker Dennis Stephen Oleszkowicz was named in a customer dispute alleging breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI, and violations of the Michigan Uniform Securities Act. Dennis Stephen Oleszkowicz (CRD: 837970) is registered as a broker and investment adviser with UBS Financial Services, where he’s been employed since [...]
INVESTORS: Spire Securities broker Scott Erik Aabel was named in a customer dispute alleging unsuitable investment recommendations in GWG L-Bonds. Scott Erik Aabel (CRD: 1493667) is registered as a broker and investment adviser with Spire Securities, where he’s been employed since 2017. Previously, Aabel was registered as a broker with Investors Capital Advisory from January [...]
Investors concerned about option strategies recommended by their broker should seek advice from a securities attorney. FINRA has ruled that Morgan Stanley must pay $11.5 million in damages to an investor who claimed negligence, breach of fiduciary duty and contract, failure to supervise, fraud, and unauthorized trading. The investor's claims relate to Morgan Stanely's deployment [...]
INVESTORS: Former CFD Investments broker Dana Bruce Vietor was named in multiple customer disputes alleging breach of fiduciary duty, violation of FINRA suitability rules, and fraud. Dana Bruce Vietor (CRD: 873129) was registered as a broker with CFD Investments from 2016 until 2018. Vietor was previously registered as a broker with Morgan Stanley from 2015 [...]
INVESTORS: UBS Financial Services broker Matthew Stern Buchsbaum was named in a customer dispute alleging misrepresentation and unsuitability. Matthew Stern Buchsbaum (CRD: 2220565) is registered as a broker and investment adviser with UBS Financial Services, where he’s been employed since 2015. Previously, Buchsbaum was registered as a broker and investment adviser with Credit Suisse from [...]
INVESTORS: Merrill Lynch broker Adam Jesse Gurien was named in a customer dispute alleging misrepresentation and unsuitability. Adam Jesse Gurien (CRD: 2302341) is registered as a broker and investment adviser with Merrill Lynch, where he’s been employed since 2011. Previously, Gurien was registered as a broker and investment adviser with Wells Fargo from 2001 until [...]
INVESTORS: Former David Lerner Associates broker Lawrence Merl was named in a customer dispute alleging unsuitable investment recommendations. Lawrence Merl (CRD: 2443190) was registered as a broker with David Lerner Associates from 1994 until 2022. Merl has three disclosures on his BrokerCheck report. A regulatory judgment filed against Merl occurred in 2004. November 2021 Customer [...]
INVESTORS: Spartan Capital Securities broker Todd Michael Venturino was named in a FINRA complaint alleging excessive and unsuitable trading. Todd Michael Venturino (CRD: 2939050) is registered as a broker and investment adviser with Spartan Capital Securities, where he’s been employed since 2022. Previously, Venturino was registered as a broker and investment adviser with UBS Financial [...]
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