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Richard Noel Fredette, Formerly of Cantella & Company, Facing Customer Dispute Alleging Unsuitable Investment Recommendations

By |2022-08-30T10:44:48-04:00August 23rd, 2022|Broker / Advisor Investigations|

INVESTORS: Former Cantella & Company broker Richard Noel Fredette is facing a customer dispute alleging unsuitable investment recommendations. Richard Noel Fredette (CRD#: 1283377) was registered as a broker with Cantella & Company from November until December 2018. Previously, Fredette was registered as a broker with Calton & Associates from 2017 until 2018. Fredette has five [...]

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Anthony Mastroianni Charged by SEC with Scamming Investors Out of Over $1M

By |2022-08-30T10:41:26-04:00August 22nd, 2022|Investment Loss Investigations|

INVESTORS: Former broker Anthony Mastroianni is facing civil and criminal charges following accusations of scamming at least 11 investors out of more than $1 million. Anthony Mastroianni was barred by FINRA in 2016 after he refused to appear for testimony concerning allegations of, among other things, excessive trading in an elderly customer’s account, the US [...]

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Seth Barnes Stewart, Formerly of Center Street Securities, Named in Customer Disputes Unsuitable Investment Recommendations

By |2022-08-22T15:37:07-04:00August 20th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Center Street Securities broker Seth Barnes Stewart was named in customer disputes alleging unsuitable investment recommendations. Seth Barnes Stewart (CRD#: 5467292) was registered as a broker with Center Street Securities from 2012 until 2020. Previously, Stewart was registered as a broker with American Equity Investment Corporation from 2009 until 2012. Stewart has four [...]

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Scott Jay Matalon, Formerly of RBC Capital Markets, Named in Customer Dispute Alleging Negligence

By |2022-08-22T15:30:30-04:00August 19th, 2022|Broker / Advisor Investigations|

INVESTORS: Former RBC Capital Markets broker Scott Jay Matalon was named in a customer dispute alleging negligence, misrepresentation, and failure to supervise. Scott Jay Matalon (CRD#: 4637378) was registered as a broker with RBC Capital Markets from 2019 until 2021. Previously, Matalon was registered as a broker with Ameriprise Financial Services from 2013 until 2019. [...]

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Thomas Paul Tibaldi, Broker with Citigroup Global Markets, Facing Customer Dispute Alleging Unsuitable Investment Recommendations

By |2022-08-22T15:21:32-04:00August 18th, 2022|Broker / Advisor Investigations|

INVESTORS: Citigroup Global Markets broker Thomas Paul Tibaldi is facing a pending customer dispute alleging failure to provide suitable recommendations, failure to execute an order for sale, misrepresenting/omitting material information in connection with the account and failure to supervise an employee. Thomas Paul Tibaldi (CRD#:2672406) is registered as a broker and investment adviser with Citigroup [...]

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Joseph Ijong Chu, Broker with RBC Capital Markets, Facing Customer Disputes Alleging Unsuitable Concentration of Certain Investments

By |2022-08-22T15:13:13-04:00August 17th, 2022|Broker / Advisor Investigations|

INVESTORS: RBC Capital Markets broker Joseph Ijong Chu is facing pending customer disputes alleging unsuitable concentration of energy sector securities. Joseph Ijong Chu (CRD#:4546805) is registered as a broker and investment adviser with RBC Capital Markets, where he’s been employed since 2018. Previously, Chu was registered as a broker and investment adviser with Merrill Lynch [...]

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Alpine Securities, Former CEO and Current CEO Charged by SEC with Engaging in Unauthorized Securities Transactions

By |2022-08-22T15:04:01-04:00August 16th, 2022|Broker / Advisor Investigations|

INVESTORS: The SEC charged broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current Chief Operations Officer Joseph Walsh with engaging in a series of unauthorized securities transactions. On August 10, 2022, the SEC announced charges against broker-dealer Alpine Securities Corporation, its former Chief Executive Officer Christopher Doubek, and its current [...]

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