material misrepresentations

Broker Investigation: Anthony Diaz

Jeffrey Sonn
May 30, 2018
Posted in Investment Loss Investigations

Anthony Diaz (CRD#: 4131948) is a previously registered securities broker who has a long history of alleged misconduct and FINRA disclosures. Mr. Diaz has previously[...]

Broker Investigation: Jonathan Sweeney

Jeffrey Sonn
May 17, 2018
Posted in Investment Loss Investigations

Jonathan Sweeney (CRD#: 4914852) is a previously registered investment advisor. Most recently, Mr. Sweeney was employed as a broker at Navy Federal Brokerage Services, based[...]