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Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments

By |2022-10-06T11:48:54-04:00September 26th, 2022|Broker / Advisor Investigations|

INVESTORS: David Lerner Associates broker Daniel Todd Lerner was named in a FINRA investigation alleging he recommended investments in Energy 11, L.P, Energy 12, L.P., and Spirit of America Energy Fund to multiple customers that were unsuitable. Daniel Todd Lerner (CRD: 1255769) is registered as a broker and investment adviser with David Lerner Associates, where [...]

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Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments.

By |2022-09-26T23:18:29-04:00September 25th, 2022|Broker / Advisor Investigations|

INVESTORS: CFD Investments broker Matthew Bahrenburg is facing a pending customer dispute alleging the sale of private investments. Matthew Bahrenburg (CRD: 5295661) is registered as a broker and investment adviser with CFD Investments where he’s been employed since 2007. Bahrenburg does not have any other experience in the securities industry. Bahrenburg has three disclosures on [...]

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James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award

By |2022-09-26T23:10:28-04:00September 24th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Voya Financial Advisors broker James Travis Flynn was barred by FINRA after he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to an information request concerning the status of compliance. James Travis Flynn (CRD: 3082615) was registered as a broker and investment adviser with Voya Financial Advisors [...]

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Jeffrey Daniel Basford, Formerly of David Lerner Associates, Barred by FINRA Following Refusal to Appear for Testimony

By |2022-09-26T23:05:22-04:00September 23rd, 2022|Broker / Advisor Investigations|

INVESTORS: Former David Lerner Associates broker Jeffrey Daniel Basford was barred by FINRA after he declined to appear for on-the-record testimony in connection with FINRA’s investigation of his unsuitable sales of proprietary energy products. Jeffrey Daniel Basford (CRD: 5077566) was registered as a broker and investment adviser with David Lerner Associates from 2006 until 2022. [...]

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John Hillman Timberlake, Formerly of Carter, Terry & Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments and Unauthorized Trades

By |2022-09-26T22:59:33-04:00September 22nd, 2022|Broker / Advisor Investigations|

INVESTORS: Former Carter, Terry & Company broker John Hillman Timberlake is facing a customer dispute alleging unauthorized and unsuitable trades in a client’s account. John Hillman Timberlake (CRD#: 2109445) was registered as a broker with Carter, Terry & Company from 2016 until 2020. Previously, Timberlake was registered as a broker with SunTrust Investment Services from [...]

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Mark Alan Cline, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Alleging Sale of Unsuitable Investments in GWG Holdings

By |2022-09-26T22:52:49-04:00September 21st, 2022|Broker / Advisor Investigations|

INVESTORS: Former National Securities Corporation broker Mark Alan Cline is facing multiple customer disputes alleging that he recommended unsuitable investments in GWG Holdings L Bonds. Mark Alan Cline (CRD#: 3206962) was registered as a broker with National Securities Corporation from 2014 until 2022. Previously, Cline was registered as a broker with Great Nation Investment Corporation [...]

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Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts

By |2024-11-27T14:33:17-05:00September 20th, 2022|Broker / Advisor Investigations|

INVESTORS: Former lawyer for Wendy Williams, LaShawn Thomas, claimed that Williams’ former financial advisor at Wells Fargo Advisors refused to grant Williams access to her own accounts. LaShawn Thomas, who previously represented Williams, alleged that former Wells Fargo financial advisor Lori Schiller refused to grant Willaims access to her own accounts, including the right to [...]

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Daniel Minich, Formerly of Ameriprise Financial Services, Suspended by FINRA Following Participation in Private Securities Transactions

By |2022-09-26T22:42:58-04:00September 19th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Ameriprise Financial Services broker Daniel Minich was suspended by FINRA following allegations that he participated in three private securities transactions totaling approximately $200,000 without providing prior written notice to his member firm. Daniel Minich (CRD#: 6465746) was registered as a broker with Ameriprise Financial Services from 2015 until 2020. Minich does not have [...]

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Marc Frankel Charged by SEC with Stealing from Clients

By |2022-09-20T11:51:26-04:00September 17th, 2022|Investment Loss Investigations|

INVESTORS: Former investment adviser Marc Frankel was charged by the SEC with misappropriating client funds to pay his personal expenses. Marc Frankel, the former investment adviser representative, was charged by the SEC for misappropriating client funds to pay his personal expenses. The SEC’s complaint against Frankel alleges that between December 2017 and June 2020, Frankel [...]

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