Help your company shift to a digital culture
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Change emails and long video calls for asynchronous video
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Manish Saini, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction
INVESTORS: Former Morgan Stanley broker Manish Saini suspended by FINRA for 60 days following allegations that he participated in a private securities transaction involving his purchase of $500,000 in preferred shares of a privately held marketing company without his member firm's knowledge or approval. Manish Saini (CRD#: 3266112) was registered as a broker with Morgan [...]
William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
INVESTORS: UBS Financial Services broker William Word Huthnance is facing pending customer disputes alleging recommendation of unsuitable investments. William Word Huthnance (CRD#:4326519) is registered as a broker and investment adviser with UBS Financial Services, where he’s been employed since 2015. Previously, Huthnance was registered as a broker and investment adviser with Credit Suisse from 2009 [...]
Lawrence William Catena, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
INVESTORS: Morgan Stanley broker Lawrence William Catena is facing pending customer disputes alleging recommendation of unsuitable investments. Lawrence William Catena (CRD#:2037155) is registered as a broker and investment adviser with Morgan Stanley, where he’s been employed since 2020. Previously, Catena was registered as a broker and investment adviser with Merrill Lynch from 2004 until 2020. [...]
Customers Contacted by Twilio About Data Breach Have Legal Claims
ATTENTION TWILIO CUSTOMERS: If you were recently contacted by Twilio about a data breach which exposed your personal information you have a legal claim for damages. The digital communications company announced on it's blog last week that it had "became aware of unauthorized access to information related to a limited number of Twilio customer accounts". [...]
Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations
INVESTORS: Cetera Investment Services broker Doris Lau is facing a pending customer dispute alleging unsuitable investment recommendations. Doris Lau (CRD#: 5750600) is registered as a broker and investment adviser with Cetera Investment Services, where she’s been employed since 2013. Previously, Yacenda was registered as a broker and investment adviser with Merrill Lynch from 2011 until [...]
Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures
INVESTORS: Park Avenue Securities broker Anthony Thomas Megaro is facing pending customer disputes alleging that he forged a client’s signature on a beneficiary form. Anthony Thomas Megaro (CRD#: 1977837) is registered as a broker and investment adviser with Park Avenue Securities, where he’s been employed since 1999. Previously, Megaro was registered as a broker with [...]
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