INVESTORS: The SEC filed charges against the estate of Stephen Romney Swensen, a former registered investment adviser representative, for operating a fraudulent investment offering from 2011 until 2022 that raised over $29 million from more than 50 investors. On October 18, 2022, the SEC announced charges against the estate of Stephen Romney Swensen, a former [...]
INVESTORS: Capital Investment Group broker Anthony John Pitta is facing a pending customer dispute alleging unsuitable investment recommendations. Anthony John Pitta (CRD: 1958029) is registered as a broker and investment adviser with Capital Investment Group, where he’s been employed since 2010. Pitta was previously registered as a broker with Park Avenue Securities from 1999 until [...]
INVESTORS: Center Street Securities broker Kenneth James New is facing a pending customer dispute alleging unsuitable investment recommendations. Kenneth James New (CRD: 2836918) is registered as a broker and investment adviser with Center Street Securities, where he’s been employed since 2017. New was previously registered as a broker with Pinnacle Financial Wealth Management from 2015 [...]
INVESTORS: Former Joseph Stone Capital broker Joseph Albert Ambrosole was barred by FINRA after he refused to appear for testimony in connection with their investigation into allegations of unsuitable trading. Joseph Albert Ambrosole (CRD: 5732488) was registered as a broker with Joseph Stone Capital from 207 until 2021. Ambrosole was previously registered as a broker [...]
INVESTORS: Laidlaw & Company broker Gregory William Melendez was named in customer disputes alleging the recommendation of unsuitable investments. Gregory William Melendez (CRD: 4920698) is registered as a broker and investment adviser with Laidlaw & Company, where he’s been employed since 2014. Melendez was previously registered as a broker with IAA Financial from 2009 until [...]
INVESTORS: Former SW Financial broker Kevin Richard Wilson is facing multiple pending customer disputes alleging misrepresentation of private placements, among other forms of misconduct. Kevin Richard Wilson (CRD#: 3262701) was registered as a broker with SW Financial from 2021 until 2022. Previously, Wilson was registered as a broker with Worden Capital Management from 2019 until [...]
INVESTORS: Cambridge Investment Research broker Brian Charles Kennedy was named in customer disputes alleging recommendation of unsuitable investments. Brian Charles Kennedy (CRD: 2321416) is registered as a broker and investment adviser with Cambridge Investment Research, where he’s been employed since May 2022. Kennedy was previously registered as a broker and investment adviser with Concourse Financial [...]
INVESTORS: Coastal Equities broker Jon Paul Cirelli was named in a customer dispute alleging negligence, breach of fiduciary duty, breach of contract, and Violations of Uniform Securities Act of Michigan Jon Paul Cirelli (CRD: 4729737) is registered as a broker and investment adviser with Coastal Equities, where he’s been employed since April 2022. Cirelli was [...]
INVESTORS: AAG Capital broker Jon Raymond Lee was named in a customer dispute alleging concerning an investor’s purchase of L Bonds issued by GWG Holdings. Jon Raymond Lee (CRD: 2354294) was registered as a broker with AAG Capital in 2022. Previously, Lee was previously registered as a broker with Aegis Capital from 2015 until 2022. [...]
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