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Joseph Patrick Roop, Formerly of Dempsey Lord Smith, Named in Customer Dispute Alleging Improper Recommendations and Suitability Issues

By |2022-09-08T00:12:32-04:00August 31st, 2022|Broker / Advisor Investigations|

INVESTORS: Former Dempsey Lord Smith broker Joseph Patrick Roop is facing a customer dispute alleging improper recommendations and suitability issues. Joseph Patrick Roop (CRD#: 2774470) was registered as a broker with Dempsey Lord Smith from 2019 until 2021. Previously, Roop was registered as a broker with Kalos Capital from 2009 until 2019. Roop has twelve [...]

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Stephen Yauman Kwan, Broker with Madison Avenue Securities, Facing Customer Disputes Alleging Unsuitable Recommendation of GPB Capital Investments

By |2022-09-08T00:06:02-04:00August 30th, 2022|Broker / Advisor Investigations|

INVESTORS: Madison Avenue Securities broker Stephen Yauman Kwan is facing pending customer disputes alleging unsuitable recommendations of GPB Capital investments.  Stephen Yauman Kwan (CRD#: 3183681) is registered as a broker and investment adviser with Madison Avenue Securities, where he’s been employed since 2006. Previously, Kwan was registered as a broker with NYLife Securities from 1999 [...]

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Jeffrey Adam Miller, Broker with UBS Financial Services, Facing Customer Dispute Alleging Unsuitable Concentration in Gold and Silver

By |2022-09-07T23:59:23-04:00August 29th, 2022|Broker / Advisor Investigations|

INVESTORS: UBS Financial Services broker Jeffrey Adam Miller is facing a pending customer dispute alleging that he recommended an unsuitable concentration of gold and silver investments. Jeffrey Adam Miller (CRD#: 4251936) is registered as a broker and investment adviser with UBS Financial Services, where he’s been employed since 2013. Previously, Miller was registered as a [...]

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John Sebastion Cangialosi, Formerly of SW Financial, Named in Customer Dispute Alleging Churning and Unauthorized Trading, Among Other Misconduct

By |2022-08-30T11:20:54-04:00August 28th, 2022|Broker / Advisor Investigations|

INVESTORS: Former SW Financial broker John Sebastion Cangialosi is facing a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and fraud John Sebastion Cangialosi (CRD#: 3273820) was registered as a broker with SW Financial from 2019 until 2022. Previously, Cangialosi was registered as a broker with Worden Capital Management from [...]

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Thomas Wilson Murray, Broker with Wells Fargo, Facing Customer Dispute Alleging He Solicited an Outside Investment Opportunity Unauthorized by His Firm

By |2022-08-30T11:14:50-04:00August 27th, 2022|Broker / Advisor Investigations|

INVESTORS: Wells Fargo broker Thomas Wilson Murray is facing a pending customer dispute alleging that he solicited an outside investment opportunity that was not authorized by his firm. Thomas Wilson Murray (CRD#: 1186933) is registered as a broker and investment adviser with Wells Fargo, where he’s been employed since 2019. Previously, Murray was registered as [...]

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Edward Turley, JP Morgan Face $56M Claim Alleging Misrepresentation and Unsuitable Trading

By |2024-10-30T16:52:42-04:00August 26th, 2022|Broker / Advisor Investigations|

In December of 2021 our firm helped secure a $4M award for Lacey Winston Keath who was a victim of unauthorized trading of unsuitable securities by ex-JP Morgan broker Edward L. Turley. Now, Turley faces another customer complaint alleging the exercise of discretion, misrepresentation, and unsuitable trading. This time, the client is claiming nearly $56 [...]

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Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley?

By |2022-08-26T15:48:23-04:00August 26th, 2022|Broker / Advisor Investigations|

This article was originally published in October of 2021. It was most recently updated on August 26, 2022. Sonn Law Group – a law firm with over 30 years of experience representing victims of financial advisor misconduct – is representing customers of Ex-J.P. Morgan Broker Edward Turley, who currently faces customer complaints totaling over $78M. [...]

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Michael James Petyak, Broker with Calton & Associates, Facing Customer Dispute Alleging Lack of Diversification

By |2025-10-02T09:53:43-04:00August 25th, 2022|Broker / Advisor Investigations|

INVESTORS: Calton & Associates broker Michael James Petyak is facing a pending customer dispute alleging a lack of diversification. Michael James Petyak (CRD#: 2976602) is registered as a broker and investment adviser with Calton & Associates, where he’s been employed since 2017. Previously, Petyak was registered as a broker and investment adviser with Cambridge Investment [...]

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Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct

By |2022-08-30T11:07:09-04:00August 24th, 2022|Broker / Advisor Investigations|

INVESTORS: Sentinus-Halo Securities broker Joseph Lee Moses is facing a pending customer dispute alleging that he failed to respond to a customer’s questionnaire. Joseph Lee Moses (CRD#: 2968778) is registered as a broker with Sentinus-Halo Securities, where he’s been employed since August 2022. Previously, Moses was registered as a broker with Charles Schwab from March [...]

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