2023-05-18: Updated: 2023-05-18 14:11:00 Allen Hershberg Barred Over Real Estate Investments – Investor Recovery Options by Staff Attorney
2023-05-18: Updated: 2023-05-18 14:10:50 Broker Valentino Scott Has Alternative Investment Customer Complaints by Staff Attorney
2023-04-22: Updated: 2023-04-22 09:18:44 Advisor Tyler Dean Delahunt barred from industry over unapproved business activity by Staff Attorney
2023-04-22: Updated: 2023-04-22 09:18:25 Advisor John Blakezuniga Has Several Regulatory Actions – Investor Recovery by Staff Attorney
2023-02-23: Updated: 2023-02-23 11:05:01 Securities Arbitration – The Basics: What you need to know. by Staff Attorney
2023-01-22: Updated: 2023-01-22 13:00:40 Advisor Anthony Tricario Accused of Churning and Sanctioned By Financial Regulator by Staff Attorney
2022-10-10: Updated: 2022-10-10 16:07:53 Kirk Badii Has Six Customer Complaints and Multiple Terminations by Staff Attorney
2022-10-10: Updated: 2022-10-10 16:07:44 Broker Brian Roth Has Alternative Investment Customer Complaints by Staff Attorney
2022-10-06: Updated: 2022-10-06 10:38:48 Broker Jerry Tuma Has Customer Suitability Complaints by Staff Attorney
2022-10-06: Updated: 2022-10-06 10:37:43 Jonathan Ellefson Sold GWG Bonds and Has Investor Complaints by Staff Attorney
2022-10-05: Updated: 2022-10-05 16:13:32 Gana Weinstein Represents Clients of Chad Barancyk Concerning Alternative Investments by Staff Attorney
2022-10-05: Updated: 2022-10-05 16:13:03 Anthony Gallea Has Complaints Over Complex Options Trading by Staff Attorney
2022-10-04: Updated: 2022-10-04 11:33:37 Eduardo Da Cruz Has a Complaint Over Complex Options Trading by Staff Attorney
2022-10-04: Updated: 2022-12-08 09:55:35 James Pecoraro Sanctioned by Regulator Over Excessive Trading by Staff Attorney
2022-10-02: Updated: 2022-10-02 15:47:38 Heath Goldstein Sold GWG Bonds and Investor Complaints by Staff Attorney
2022-10-02: Updated: 2022-10-02 15:47:28 Advisor Thomas Martin Has Unsuitable Investment Complaints by Staff Attorney
2022-10-01: Updated: 2022-10-01 11:14:53 Shawn Good Barred Over Alleged Ponzi Scheme – Investor Recovery Options by Staff Attorney
2022-09-25: Updated: 2022-09-25 13:51:38 Newbridge Advisor Dean Norwalk Subject to Customer Disputes by Staff Attorney
2022-09-25: Updated: 2022-09-25 13:51:28 Broker Douglas Schmitz Has Customer Complaints by Staff Attorney
2022-09-21: Updated: 2022-09-21 08:57:54 Arkadios Advisor Mark Reffett Accused of Unsuitable Investment Practices by Staff Attorney
2022-09-21: Updated: 2022-09-21 08:57:33 Advisor Michael Martino Subject to Multiple Unsuitable Advice Disputes by Staff Attorney
2022-09-19: Updated: 2022-09-19 10:44:17 Ariel Rivero Has Customer Complaints Related to High Risk Investments by Staff Attorney
2022-09-19: Updated: 2022-09-19 10:44:08 Broker Frederick Atiyeh Accused of Selling Unsuitable Alternative Investments by Staff Attorney
2022-09-17: Updated: 2022-09-17 11:22:31 Tony Barouti Sold GWG Bonds and Has Over $5 Million In Investor Complaints by Staff Attorney
2022-09-17: Updated: 2022-09-17 10:53:36 Mark Kemp Has 11 Customer Complaints and A Regulatory Disclosure by Staff Attorney
2022-09-16: Updated: 2022-09-16 11:04:05 Advisor Richard Reynolds Has Numerous Trading Complaints by Staff Attorney
2022-09-16: Updated: 2022-09-16 11:03:49 Advisor Frank Avallone Has Suitability Complaints by Staff Attorney
2022-09-14: Updated: 2022-09-14 15:32:53 Advisor Travis Lippman Subject to Multiple Investment Complaints by Staff Attorney
2022-09-14: Updated: 2022-09-14 15:32:36 Advisor Thomas Kintz Has a Suitability Complaint by Staff Attorney
2022-09-08: Updated: 2022-09-08 15:37:08 William Athas of SW Financial Sanctioned By FINRA Over Churning by Staff Attorney
2022-09-08: Updated: 2022-09-08 15:36:55 Broker Robert Mann Has Suitability Disputes by Staff Attorney
2022-09-06: Updated: 2022-09-06 09:54:01 Christian Lucchetto Suspended by FINRA Over Excessive Trading by Staff Attorney
2022-09-06: Updated: 2022-09-06 09:38:17 Advisor Erik Drewes Expunges Three Customer Complaints From His Disclosures by Staff Attorney
2022-09-02: Updated: 2022-09-02 09:54:55 Advisor Serge Parakhnevich Has Complaints and Regulatory History by Staff Attorney
2022-09-02: Updated: 2022-09-02 09:54:32 Capstone Financial’s David Melilli Allegedly Violates Securities Laws by Staff Attorney
2022-09-01: Updated: 2022-09-01 10:31:10 Broker Ronald Richer Barred By Securities Regulator by Staff Attorney
2022-09-01: Updated: 2022-09-01 10:30:17 Christopher Miller Subject to Investment Customer Complaint by Staff Attorney
2022-08-31: Updated: 2022-08-31 10:08:38 Advisor Frank Venturelli Suspended By Securities Regulator by Staff Attorney
2022-08-31: Updated: 2022-08-31 10:08:02 Michael Fahsholtz Subject to 12 Customer Complaints Related to Investment Advice by Staff Attorney
2022-08-30: Updated: 2022-08-30 13:09:19 First Allied Advisor Terry Anderson Terminated for Misconduct by Staff Attorney
2022-08-30: Updated: 2022-08-30 13:08:48 Rodrigue Lors Has Multiple Customer Complaints by Staff Attorney
2022-08-29: Updated: 2022-08-29 09:49:05 Advisor Jeffrey Miller Subject to Several Investor Disputes by Staff Attorney
2022-08-29: Updated: 2022-08-29 09:48:50 Advisor Matthew Gaer Claimed to Have Provided Unsuitable Investment Advice by Staff Attorney
2022-08-28: Updated: 2022-08-28 12:45:37 Woodbury Financial’s Daryl Serizawa Has Customer Complaints by Staff Attorney
2022-08-28: Updated: 2022-08-28 11:09:02 Scott Reed Barred Over Pebblekick Investment Scheme – Investor Recovery Options by Staff Attorney
2021-10-27: Updated: 2021-10-27 11:16:26 Daniel Pimental Engaged in Unsuitable Investment Advice and Unauthorized Trading by Staff Attorney
2021-10-26: Updated: 2021-10-26 08:33:15 National Securities Broker Viqas Akhtar Has Customer Complaints by Staff Attorney
2021-10-26: Updated: 2021-10-26 08:33:04 Broker Siddharth Reddy Has Unsuitable Investor Complaints by Staff Attorney
2021-10-25: Updated: 2021-10-25 10:21:26 Gary Saccaro Has Had 16 Investor Complaints During His Career by Staff Attorney
2021-10-25: Updated: 2021-10-25 10:21:07 Aegis Capital Advisor Johnny Guan Has Investor Complaints by Staff Attorney
2021-10-19: Updated: 2021-10-19 09:21:26 FINRA Accuses Megurditch Patatian of Falsifying Investor Financial Information to Sell REITs by Staff Attorney
2021-10-19: Updated: 2021-10-19 09:21:05 Rhett Bedwell Accused of Selling Ponzi Scheme Investments – Investor Recovery Options by Staff Attorney
2021-10-18: Updated: 2021-10-18 09:52:54 Raymond James Advisor Gregory Collier Has Investor Suitability Complaints by Staff Attorney
2021-10-18: Updated: 2021-10-18 09:52:37 Advisor Russell Green Accused of Unsuitable Investments and Churning Client Accounts by Staff Attorney
2021-10-16: Updated: 2021-10-16 14:59:37 Andrew Grant Subject to FINRA Regulatory Action Over Discretionary Trading by Staff Attorney
2021-10-16: Updated: 2021-10-16 14:59:24 Advisor Doron Kochavi Has Unsuitable Investment Complaints by Staff Attorney
2021-09-22: Updated: 2021-09-22 09:03:34 Financial Advisor David Bibo Has REIT Investor Complaints by Staff Attorney
2021-09-21: Updated: 2021-09-21 09:28:22 Financial Advisor Gregory Williams Subject to Nine Investment Complaints by Staff Attorney
2021-09-20: Updated: 2021-09-20 10:16:16 Horizon Private Equity III Ponzi Scheme Victims – Investor Recovery by Staff Attorney
2021-09-20: Updated: 2021-09-20 09:58:33 Seth Stewart Has Customer Complaints Over Alternative Investments by Staff Attorney
2021-09-15: Updated: 2021-09-15 08:48:08 Former Morgan Stanley Advisor Ken Hutkin Terminated For Undisclosed Activities by Staff Attorney
2021-09-15: Updated: 2021-09-15 08:47:39 Raymond James Advisor Eric Bachinsky Has Several Disclosed Customer Complaints by Staff Attorney
2021-09-14: Updated: 2021-09-14 09:05:49 Advisor Kevin Meadows Accused of Excessive Trading and Unsuitable Investment Advice by Staff Attorney
2021-09-14: Updated: 2021-09-14 09:05:35 Broker Peter Steege Has 21 Disclosable Events – Investor Recovery by Staff Attorney
2021-09-13: Updated: 2021-09-13 09:35:33 James Couture Accused of Misappropriating Client Funds – Investor Recovery by Staff Attorney
2021-09-13: Updated: 2021-09-13 09:33:58 Michael Lackwood, Spring Delta Advisor, Accused of Unsuitable Investments by Staff Attorney
2021-09-12: Updated: 2021-09-12 10:57:22 Advisor John Howard Has Unsuitable Investment Complaints by Staff Attorney
2021-09-12: Updated: 2021-09-12 10:57:06 Advisor Michael Shillin Accused of Numerous Allegations of Financial Misconduct and Fraud – Investor Recovery Options by Staff Attorney
2021-09-11: Updated: 2021-09-11 13:24:11 Merrill Lynch Financial Advisor Mark Jones Has Nine Investor Complaints by Staff Attorney
2021-09-11: Updated: 2021-09-11 13:23:57 Cambridge Financial Advisor Eladio Santiago Has Disputes Over Unsuitable Investment Advice by Staff Attorney
2021-06-14: Updated: 2021-06-14 09:37:46 Advisor Dwight Dykstra Sanctioned By Regulator Over Senior Living Real Estate Promissory Note Sales – Investor Recovery Options by Staff Attorney
2021-06-14: Updated: 2021-06-14 09:33:42 SW Financial’s Joseph Gebron Allegedly Violates Securities Laws by Staff Attorney
2021-05-31: Updated: 2021-05-31 16:11:11 Ameriprise Financial Advisor Kevin Houser Has REIT Investment Complaints by Staff Attorney
2021-05-31: Updated: 2021-05-31 16:10:55 FINRA Barred Advisor Martin Batstone Who Unsuitable Recommendations by Staff Attorney
2021-05-25: Updated: 2021-05-25 09:19:45 Broker Timothy O’Brien Sanctioned By FINRA Over Unauthorized Trade by Staff Attorney
2021-05-24: Updated: 2021-05-24 09:31:26 VIX and Leveraged ETF Investor Loss Recovery by Staff Attorney
2021-05-24: Updated: 2021-05-24 09:31:05 Ameriprise Financial Advisor Gary Ginsberg Has REIT Investment Complaints by Staff Attorney
2021-05-18: Updated: 2021-05-18 16:52:10 National Securities Christopher Ortiz Has Private Placement Complaints by Staff Attorney
2021-04-22: Updated: 2021-04-22 09:49:00 Centaurus Advisor Conrad Corcoran Has Alternative Investment Complaints by Staff Attorney
2021-04-22: Updated: 2021-04-22 09:48:40 Broker William Campbell Accused of Making Unsuitable Recommendations by Staff Attorney
2021-04-21: Updated: 2021-04-21 09:00:03 Investment Adviser Joseph Teifer Accused of Making Unsuitable Recommendations by Staff Attorney
2021-04-21: Updated: 2021-04-21 08:59:41 Broker John Marshall Accused of Making Unsuitable Recommendations by Staff Attorney
2021-04-13: Updated: 2021-04-13 09:26:42 Broker Jonathan Ebel Accused of Excessive Trading and Subject to Tax Liens by Staff Attorney
2021-04-13: Updated: 2021-04-13 09:26:20 Adviser Ezri Shechter Alleged of Churning and Sanctioned by Regulator by Staff Attorney
2021-04-12: Updated: 2021-04-12 09:36:08 Advisor Felipe Henao Accused of Unsuitable VIX Trading by Staff Attorney
2021-04-12: Updated: 2021-04-12 09:35:32 Center Street Advisor Roy Williams Has Investment Complaints by Staff Attorney
2021-04-11: Updated: 2021-04-11 12:05:39 Advisor Marshall Isaacson Barred By Regulator After Suitability Investigation by Staff Attorney
2021-04-11: Updated: 2021-04-11 12:05:20 Advisor Peter Ianace Barred By Regulator Over Undisclosed Business Dealings – Investor Recovery Options by Staff Attorney
2021-04-10: Updated: 2021-04-10 12:51:22 Adviser Michael Greenstone Accused of Making Unsuitable Investment Recommendations by Staff Attorney
2021-04-10: Updated: 2021-04-10 12:51:04 Advisor James G. Babineaux Accused of Making Unsuitable Investment Recommendations and Unauthorized Trading by Staff Attorney
2021-04-09: Updated: 2021-04-09 13:06:35 Adviser Stuart Henley Sanctioned by Regulator Over Trading Activity by Staff Attorney
2021-04-09: Updated: 2021-04-09 13:05:54 Wedbush Advisor David Hirons Has Suitability Customer Complaints by Staff Attorney
2021-04-08: Updated: 2021-04-08 10:01:47 Advisor Stuart Pearl Sanctioned By Regulatory and Subject to Customer Complaints by Staff Attorney
2021-04-08: Updated: 2021-04-08 10:01:14 Broker Audrey Croft Subject to Multiple Tax Liens and Several Customer Complaints by Staff Attorney
2021-04-07: Updated: 2021-04-07 09:38:49 Broker Paul Porter Accused of Unauthorized Trading and Making Unsuitable Recommendations by Staff Attorney
2021-04-06: Updated: 2021-04-06 09:27:44 Broker John Timberlake Accused of Making Unsuitable Recommendations and Failure to Supervise by Staff Attorney
2021-04-06: Updated: 2021-04-06 09:26:37 Broker Sebastian Wyczawski Accused of Making Unsuitable Recommendations and Failure to Supervise by Staff Attorney
2021-04-05: Updated: 2021-04-05 09:23:46 Advisor and Broker Ralph Byer Accused of Making Unsuitable Investment Recommendations by Staff Attorney
2021-04-05: Updated: 2021-04-05 09:23:20 National Securities Advisor Troy Goldberg Has Private Placement Complaints by Staff Attorney
2021-04-04: Updated: 2021-04-04 15:00:34 Broker Chadwick David Carrick Accused of Churning and Making Unsuitable Investments by Staff Attorney
2021-04-04: Updated: 2021-04-04 15:00:18 Morgan Stanley Advisor Ryan Wroblewski Has Suitability Customer Complaints by Staff Attorney
2021-03-06: Updated: 2021-03-06 11:54:16 National Securities Advisor Kevin Dziubela Has Suitability Customer Complaints by Staff Attorney
2021-03-06: Updated: 2021-03-06 11:53:57 Advisor Bruce Ciallella Has Suitability Customer Complaints by Staff Attorney
2021-02-22: Updated: 2021-02-22 09:31:16 Advisor Joseph Hain Has Complaints Over Private Placement Reccommendations by Staff Attorney
2021-02-16: Updated: 2021-02-16 08:29:52 ACG Wealth Advisor Kevin Rainwater Has Alternative Investment Complaints by Staff Attorney
2021-02-15: Updated: 2021-02-15 10:31:51 Aegis Capital Advisor Thomas Duggan Has Suitability Customer Complaints by Staff Attorney
2021-02-15: Updated: 2021-02-15 10:31:10 RBC Capital Advisor Brian Wudemann Has Suitability Customer Complaints by Staff Attorney
2021-02-14: Updated: 2021-02-14 10:51:08 Yellowstone Advisors David Hansen and Cameron High Fraudulently Bill Clients Out of $11.8 Million – Investor Recovery Options by Staff Attorney
2021-02-08: Updated: 2021-02-08 09:13:58 Advisor Jingbo Pan Accused By Investors of Selling Unsuitable Alternative Investments by Staff Attorney
2021-02-08: Updated: 2021-02-08 09:12:53 Investor Recovery – GPB Capital Called Ponzi-Like Scheme; Fund Managers Indicted by Staff Attorney
2021-02-06: Updated: 2021-02-06 14:30:20 Gana Weinstein LLP Respresents Investor In Unsuitable David Lerner Energy 11, L.P. Sale by Staff Attorney
2021-02-06: Updated: 2021-02-06 14:00:59 Gana Weinstein LLP Files Case on Behalf of Client of Advisor Kevin McCallum and Investment in Medley Capital Corporation by Staff Attorney
2021-01-19: Updated: 2021-01-19 11:16:33 Raymond James & Associates financial Advisor Joseph Andreoli Jr has many disputes in his 33 Year career by Staff Attorney
2021-01-12: Updated: 2021-05-23 15:52:53 Gregory P. Washington of Merrill Lynch Has an Investment Complaint by Staff Attorney
2020-12-02: Updated: 2020-12-02 08:09:48 Crown Capital Advisor Kenneth Barroga Has Alternative Investment Complaints by Staff Attorney
2020-12-02: Updated: 2020-12-02 08:09:31 Newbridge Securities Financial Advisor Kerri Jamison Has Multiple Customer Complaints by Staff Attorney
2020-12-01: Updated: 2020-12-01 14:48:10 Triad Advisor Darrin Cohn Has Alternative Investment Complaints by Staff Attorney
2020-12-01: Updated: 2020-12-01 14:47:49 Advisor Martin Noonan Barred by Regulator Over Trading Claims by Staff Attorney
2020-11-30: Updated: 2020-11-30 10:24:40 FS Energy & Power Fund Investor Losses – Recovery Options Update by Staff Attorney
2020-11-28: Updated: 2020-11-28 12:52:05 New York City REIT Investors Suffer Massive Losses – Investor Recovery by Staff Attorney
2020-10-28: Updated: 2020-10-28 09:32:14 Adviser Brooklynn Willy Sanctioned Over Sale of Unsuitable Alternative Investments by Staff Attorney
2020-10-04: Updated: 2020-10-04 15:46:57 Advisor Ronald Hannes Accused of Converting Client Funds – Investor Recovery Options by Staff Attorney
2020-10-04: Updated: 2020-10-04 15:46:31 Mark Cline Subject to Customer Complaints Over Private Placement Sales by Staff Attorney
2020-09-14: Updated: 2020-09-14 09:27:28 Advisor Christopher Roumayeh Sanctioned Over Undisclosed Investments – Investor Recovery Options by Staff Attorney
2020-09-14: Updated: 2020-09-14 09:27:06 Shane Appelbaum Has Investor Complaint Over Fixed Income Sales by Staff Attorney
2020-08-10: Updated: 2020-08-10 19:50:40 RW Holdings NNN REIT Suffer Losses – Investment Attorneys by Staff Attorney
2020-08-10: Updated: 2020-08-10 19:49:04 Advisor James Parrelly Accused of Churning and Sanctioned By Financial Regulator by Staff Attorney
2020-08-04: Updated: 2020-08-04 09:10:00 Advisor William Morrow Accused by Over a Dozen Investors of Selling Unsuitable Alternative Investments by Staff Attorney
2020-08-04: Updated: 2020-08-04 09:09:43 The Parking REIT Update – Investment Loss Recovery Options by Staff Attorney
2020-08-03: Updated: 2020-08-03 09:36:57 Advisor Arthur Hoffman Barred Over Zima Global Ventures Fraud – Investor Recovery Options by Staff Attorney
2020-06-30: Updated: 2020-06-30 08:52:53 Michael Burkoff Has Investor Complaint Over Structured Products Sales by Staff Attorney
2020-06-30: Updated: 2020-06-30 08:52:38 Advisor Robert Gianchiglia Has Customer Complaints Over Private Placements and Alternative Investments by Staff Attorney
2020-06-29: Updated: 2020-06-29 09:36:30 Advisor Bryan Benson Has Customer Complaint Over Alternative Investments by Staff Attorney
2020-06-29: Updated: 2020-06-29 09:35:59 Gary Barth Has Complaint Over Alternative Investment Sales Practices by Staff Attorney
2020-06-25: Updated: 2020-06-25 11:24:24 Advisor David Weisberg Suspended Over Excessive Trading Charges by Staff Attorney
2020-06-24: Updated: 2020-06-24 09:32:41 Mark Robare Has Complaint Over Alternative Investment Sales Practices by Staff Attorney
2020-06-24: Updated: 2020-06-24 09:32:26 Carey Watermark Investors 2 Suffer Losses – Investment Attorneys by Staff Attorney
2020-06-23: Updated: 2020-06-23 09:19:22 Advisor Robert Radli Jr. Alleged to Have Recommended Unsuitable Energy Securities by Staff Attorney
2020-06-22: Updated: 2020-06-22 09:48:32 Rick Davidson Has Investor Complaint Over Corporate Debt and Structured Products by Staff Attorney
2020-06-22: Updated: 2020-06-22 09:48:17 David Krumrey Barred Over Risky EFT and VIXX Trading – Investor Recovery by Staff Attorney
2020-06-21: Updated: 2020-06-21 12:03:49 Woodbury Financial Advisor James Kennedy Barred From Industry Over Unapproved Business Activity by Staff Attorney
2020-06-21: Updated: 2020-06-21 11:35:31 Advisor Todd Esh Barred By SEC Over BirdDog Investment Fraud – Investor Recovery Options by Staff Attorney
2020-06-09: Updated: 2020-06-09 16:32:37 Oil & Gas Investment Funds See Dramatic Declines – Investor Loss Recovery by Staff Attorney
2020-06-08: Updated: 2020-06-08 09:18:47 Strategic Student & Senior Housing Trust Investors Suffer Losses – Investment Attorneys by Staff Attorney
2020-06-08: Updated: 2020-06-08 09:18:32 Moody National REIT II Investors Suffer Losses – Investment Attorneys by Staff Attorney
2020-06-07: Updated: 2020-06-07 09:43:17 Hospitality Investors Trust Investors Suffer Losses – Investment Attorneys by Staff Attorney
2020-05-29: Updated: 2020-05-29 14:28:54 Broker Eladio Santiago Subject to Customer Complaints Over Investment Recommendations by Staff Attorney
2020-05-29: Updated: 2020-05-29 14:28:39 Duff & Phelps Select Energy MLP Fund – Investor Loss Recovery by Staff Attorney
2020-05-27: Updated: 2020-05-27 09:13:41 Stifel, Nicolaus Advisor Steven Rodemer Barred From Industry Over Misappropriation of Funds by Staff Attorney
2020-05-27: Updated: 2020-05-27 09:13:24 Transamerica Advisor Gautam Arora Terminated Over Unapproved Securities Sales by Staff Attorney
2020-05-26: Updated: 2020-05-26 08:43:59 Advisor Robert Buffington Accused of Churning by Multiple Clients by Staff Attorney
2020-05-26: Updated: 2020-05-26 08:43:44 Next Financial Group Advisor Brian Radoo Terminated Over Undisclosed Business Activities by Staff Attorney
2020-05-25: Updated: 2020-05-25 12:49:55 NYLife Securities Advisor Felix Chu Barred By Regulatory Over Promissory Notes by Staff Attorney
2020-05-25: Updated: 2020-05-25 12:49:11 Allianz Structured Alpha 1000 Fund – Investor Loss Recovery Options by Staff Attorney
2020-05-19: Updated: 2020-05-19 10:21:21 Kayne Anderson MLP/Midstream Investment Company – Investor Loss Recovery by Staff Attorney
2020-05-19: Updated: 2020-05-19 10:21:07 ClearBridge MLP and Midstream Fund – Investor Loss Recovery by Staff Attorney
2020-05-18: Updated: 2020-05-18 09:32:59 Mewbourne Energy Partners Investor Loss Recovery by Staff Attorney
2020-05-18: Updated: 2020-05-18 09:32:42 Scot Fairchild Has Complaints Over Alternative Investment Sales Practices by Staff Attorney
2020-05-15: Updated: 2020-05-15 10:50:22 Advisor John Jaramillo Terminated for Selling a Non-Approved Product by Staff Attorney
2020-05-15: Updated: 2020-05-15 10:49:56 Advisor Marc Linsky Accused of Recommending GPB Capital by Staff Attorney
2020-05-14: Updated: 2020-05-14 10:28:33 Advisor Ferrell Rollins Terminated for Borrowing Customer Funds by Staff Attorney
2020-05-14: Updated: 2020-05-14 10:28:04 Advisor Jason LaBelle Sanctioned Over Outside Business Activities – Investor Recovery by Staff Attorney
2020-05-13: Updated: 2020-05-13 14:23:11 Advisor Paris Lewis Terminated for Borrowing Money From A Client – Investor Recovery by Staff Attorney
2020-05-13: Updated: 2020-05-13 14:22:49 Securities-Back Lending Risks Step Back Into the Spotlight Amidst Market Declines by Staff Attorney
2020-05-12: Updated: 2020-05-12 09:12:16 James Kirchner Has Complaints Over Private Placement Sales Practices by Staff Attorney
2020-05-12: Updated: 2020-05-12 09:11:54 Goldman Sachs MLP Income Opportunities Fund – Investor Loss Recovery by Staff Attorney
2020-05-11: Updated: 2020-05-11 09:49:59 William Braun Has Complaints Over Private Placement Sales Practices by Staff Attorney
2020-05-11: Updated: 2020-05-11 09:48:50 Merrill Lynch Financial Advisor Juan Barreras Has Suitability Customer Complaints by Staff Attorney
2020-05-10: Updated: 2020-05-10 08:48:39 Advisor Dana Vietor Sanctioned Over Promissory Note Sales by Staff Attorney
2020-05-09: Updated: 2020-05-09 10:51:02 SEC Alleges Investment Fraud – EquiAlt LLC – Recovery Options by Staff Attorney
2020-05-06: Updated: 2020-05-06 09:29:38 Rena Morris Has Complaints Over Tenant-In-Common (TIC) Real Estate Sales Practices by Staff Attorney
2020-05-06: Updated: 2020-05-06 09:29:23 Lee Kramer Has Complaint Over Alternative Investment Sales Practices by Staff Attorney
2020-05-04: Updated: 2020-05-04 09:39:45 John Davenport Subject to Regulatory and Customer Complaints Over Sales Practices by Staff Attorney
2020-05-04: Updated: 2020-05-04 09:39:30 Stephen Holt Has Complaints Over Tenant-In-Common (TIC) Real Estate Sales Practices by Staff Attorney
2020-05-03: Updated: 2020-05-03 15:33:30 Dustin Shafer Has Complaints Over Alternative Investment Sales Practices by Staff Attorney
2020-05-03: Updated: 2020-05-03 15:33:15 Timothy Touloukian Has Complaints Over Private Placement Sales Practices by Staff Attorney
2020-04-16: Updated: 2020-04-16 15:37:19 Ameriprise Financial Advisor Jeffrey McHale Has Customer Complaints by Staff Attorney
2020-04-16: Updated: 2020-04-16 15:37:02 Rodney Potratz Has Complaint Over Alternative Investment Sales Practices by Staff Attorney
2020-04-14: Updated: 2020-04-14 09:55:05 Enrique Lopez Has Complaints Over Alternative Investments by Staff Attorney
2020-04-14: Updated: 2020-04-14 09:54:50 Advisor Murray Roark Alleged to Have Recommended Unsuitable Energy Securities by Staff Attorney
2020-04-13: Updated: 2020-04-13 13:35:06 Timothy Vanlohuizen Has Complaints Over Alternative Investments by Staff Attorney
2020-04-13: Updated: 2020-04-13 13:34:45 Gana Weinstein LLP Files Complaint On Behalf of Clients Alleging William Fox Sold Unsuitable Alternative Investments by Staff Attorney
2020-04-12: Updated: 2020-04-12 10:27:38 Advisor Antonio Puente Barred Over Outside Business Activities – Investor Recovery by Staff Attorney
2020-04-12: Updated: 2020-04-12 10:10:20 Advisor Darren Oglesby Has Potential Complaint Regarding GPB Capital by Staff Attorney
2020-04-07: Updated: 2020-04-07 09:47:30 Broker Charles Evan Subject to Regulatory and Customer Complaints Over Annuity Practices by Staff Attorney
2020-04-07: Updated: 2020-04-07 09:47:09 Nationwide Planning Advisor Jeremy Rosen Has Customer Complaints by Staff Attorney
2020-04-06: Updated: 2020-04-06 10:44:37 Advisor George Schmidt Investigated for Converting Client Funds – Investor Recovery by Staff Attorney
2020-04-06: Updated: 2020-04-06 10:44:20 Advisor Gerald Dewes Accused of Selling Private Securities – Investor Recovery by Staff Attorney
2020-03-25: Updated: 2020-03-25 10:04:00 Roger Owens Terminated Over Sale of Fraudulent Woodbridge Mortgage Investments by Staff Attorney
2020-03-25: Updated: 2020-03-25 10:03:41 Peter Maller Has Complaints Over Non Traded REIT Investments by Staff Attorney
2020-03-24: Updated: 2020-03-24 09:35:52 Advisor John Cahill Investigated for Converting Client Funds – Investor Recovery by Staff Attorney
2020-03-24: Updated: 2020-03-24 09:35:35 Advisor Joseph Roop Has Customer Complaints Over Alternative Investments by Staff Attorney
2020-03-23: Updated: 2020-03-23 09:56:52 Gana Weinstein Represents Multiple Walton Land Fund Investors by Staff Attorney
2020-03-23: Updated: 2020-03-23 09:56:31 Network 1 Financial Advisor Carl Antaki Has Churning Complaints by Staff Attorney
2020-02-27: Updated: 2020-02-27 10:59:41 Advisor Benjamin Lowder Accused of Selling Private Securities – Investor Recovery by Staff Attorney
2020-02-25: Updated: 2020-02-25 09:22:23 Advisor Edward Rudiger Accused of Churning by Multiple Clients by Staff Attorney
2020-02-25: Updated: 2020-02-25 09:22:01 Advisor Narinder Singh Accused of Selling Private Securities – Investor Recovery by Staff Attorney
2020-02-20: Updated: 2020-02-20 10:54:05 Western International Advisor Stuart Godin Has Customer Complaints by Staff Attorney
2020-02-20: Updated: 2020-02-20 10:53:44 Robert Brinckerhoff Has Investor Complaint Over Structured Products by Staff Attorney
2020-02-18: Updated: 2020-02-18 08:53:48 Mercer Hicks Has Regulatory Complaint Over REIT Investment Sales by Staff Attorney
2020-02-18: Updated: 2020-02-18 08:53:26 Independent Financial Advisor Morgan Arford Has Customer Complaints by Staff Attorney
2020-02-17: Updated: 2020-02-17 10:30:02 Advisor Lester Burroughs Pleads Guilty to Converting Client Funds – Investor Recovery by Staff Attorney
2020-02-11: Updated: 2020-02-11 10:31:19 Berthel, Fisher Advisor William Sines Has Complaints Over Alternative Investment Sales by Staff Attorney
2020-02-07: Updated: 2020-02-07 14:41:55 Advisor Lance Armstrong Terminated Over Client Loans – Investor Recovery by Staff Attorney
2020-02-04: Updated: 2020-02-04 11:12:49 Investment Broker Vincent Mazza Barred By Securities Regulator by Staff Attorney
2020-02-04: Updated: 2020-02-04 11:12:14 Dennis Nakamura Has Customer Complaints and Subject to Regulatory Bar by Staff Attorney
2020-02-03: Updated: 2020-02-03 09:53:43 Advisor Gerald Eaton Terminated Over Misappropriating Investor Funds – Investor Recovery by Staff Attorney
2020-02-03: Updated: 2020-02-03 09:53:22 Advisor Kenneth Guerra Has Complaints Over Alternative Investment Sales by Staff Attorney
2020-01-31: Updated: 2020-01-31 14:13:02 Heather Weber Has Customer Complaints Over Options Trading by Staff Attorney
2020-01-28: Updated: 2020-01-28 18:02:43 James McKinney Under Investigation For Securities Laws Violations by Staff Attorney
2020-01-28: Updated: 2020-01-28 18:02:22 Advisor Victor Agnihotri Under Investigation for Conversion of Funds by Staff Attorney
2020-01-06: Updated: 2020-01-06 09:22:06 Advisor William Baum Subject to Multiple Customer Disputes by Staff Attorney
2020-01-06: Updated: 2020-01-06 09:02:29 Philip Sparacino Barred By Regulator Over Excessive Trading by Staff Attorney
2019-12-30: Updated: 2019-12-30 08:47:22 Advisor Clint Keener Barred By Regulator Over Unsuitable Recommendations by Staff Attorney
2019-12-30: Updated: 2019-12-30 08:47:00 Advisor Jeffrey Dixson Has Customer Complaint Over Alternative Investments and GPB Capital by Staff Attorney
2019-12-27: Updated: 2019-12-27 14:13:07 Advisor Brian Lockett Suspended By Regulator; Subject to Multiple Client Complaints by Staff Attorney
2019-12-27: Updated: 2019-12-27 14:12:44 Advisor Genevieve Mar Has Complaints Over Alternative Investment Sales by Staff Attorney
2019-12-26: Updated: 2019-12-26 12:03:03 Advisor Justine Zhou Accused of Selling Private Real Estate Investments – Recovery Options by Staff Attorney
2019-12-24: Updated: 2019-12-24 12:21:15 Katherine Nishnic Has Investor Complaints Over Structured Note Products by Staff Attorney
2019-12-24: Updated: 2019-12-24 12:20:56 Albert Foronda Has Excessive Trading Complaint by Staff Attorney
2019-12-22: Updated: 2019-12-22 12:17:35 GPB Capital Alleged to Have Been Sold by Purshe Kaplan Even After Compliance Discovered Red Flags of Fraud by Staff Attorney
2019-12-22: Updated: 2019-12-22 12:17:10 Advisor David Miller Has Complaints Over Alternative Investment Sales by Staff Attorney
2019-12-21: Updated: 2019-12-21 11:20:13 Gana Weinstein Represents NorthStar Healthcare REIT Investors by Staff Attorney
2019-12-19: Updated: 2019-12-19 16:49:59 Advisor Joel Davidman Sanctioned By Regulator Over Trading Activity by Staff Attorney
2019-12-18: Updated: 2019-12-18 08:57:33 Advisor Yvonne Silguero Has Complaints Over Altnerative Investment Sales by Staff Attorney
2019-12-18: Updated: 2019-12-18 08:57:09 Advisor Jamie Westenbarger Barred by Regulator Over Borrowing Customer Funds by Staff Attorney
2019-12-17: Updated: 2019-12-17 16:47:34 Advisor Charles Kerker Barred by Regulator Over Borrowing Customer Funds by Staff Attorney
2019-12-17: Updated: 2019-12-17 16:46:06 Advisor Robert Burns Has Complaints Over Altnerative Investment Sales by Staff Attorney
2019-12-16: Updated: 2019-12-16 10:31:54 Advisor Dain Stokes Accused Of Running An Investment Scam – Recovery Options by Staff Attorney
2019-12-16: Updated: 2019-12-16 10:29:49 Advisors Beg Clients to Wait it Out While GPB Capital Collapses by Staff Attorney
2019-12-12: Updated: 2019-12-12 10:44:11 Alan Appelbaum Accused of Churning and Unsuitable Trading by Staff Attorney
2019-12-12: Updated: 2019-12-12 10:43:47 Advisor Anthony Joslin Subject to Regulatory and Customer Complaints by Staff Attorney
2019-12-10: Updated: 2019-12-10 13:53:32 Advisor Timothy Atyeo Alleged to Have Recommended Unsuitable Energy Securities by Staff Attorney
2019-12-10: Updated: 2019-12-10 13:53:11 Advisor Darren Kubiak Suspended by FINRA and Has Complaint Over GPB Capital by Staff Attorney
2019-12-09: Updated: 2019-12-09 20:34:56 Broker Nicholas Schiano Subject to Customer Complaints Over Investment Recommendations by Staff Attorney
2019-12-09: Updated: 2019-12-09 20:34:30 Leon Almeida Discharged By NYLife Over Securities Sales Practices by Staff Attorney
2019-12-08: Updated: 2019-12-08 17:18:42 Advisor Luke Johnson Accused of Selling Fraudulent GPB Capital Investments by Staff Attorney
2019-12-08: Updated: 2019-12-08 17:18:20 LPL Financial Broker Steven Case Has Complaints Over Alternative Investments by Staff Attorney
2019-12-07: Updated: 2019-12-07 08:30:22 Advisor Timothy Johnson Accused of Diverting Client Funds – Recovery Options by Staff Attorney
2019-12-07: Updated: 2019-12-07 08:29:34 Advisor Christopher Watkins Subject to Employment Termination and a Customer Complaint by Staff Attorney
2019-12-02: Updated: 2019-12-02 08:55:40 Advisor Michael Carter Accused of Misappropriating Client Funds – Recovery Options by Staff Attorney
2019-12-02: Updated: 2019-12-02 08:55:00 Bio-Tech Company uBiome Raided By FBI – Investor Recovery Options by Staff Attorney
2019-11-25: Updated: 2019-11-25 20:52:08 Broker Peter Monson Under Regulatory Investigation For Excessive Trading by Staff Attorney
2019-11-25: Updated: 2019-11-25 20:51:37 Advisor Robert Smith Accused of Selling Fraudulent GPB Capital Investments by Staff Attorney
2019-11-23: Updated: 2019-11-23 11:55:27 Advisor Bobby Coburn Barred by Regulator Over Private Securities Dealings by Staff Attorney
2019-11-23: Updated: 2019-11-23 11:55:05 Advisor David Rockwell Accused of Misappropriating Client Funds – Recovery Options by Staff Attorney
2019-10-21: Updated: 2019-10-28 16:55:11 Broker Steven Orr – A Case Study For Investor Complaint Expungement Abuse by Staff Attorney
2019-10-21: Updated: 2019-10-21 07:45:41 Gana Weinstein Represents Clients With Losses Due To Structured Note Products by Staff Attorney
2019-10-18: Updated: 2019-10-18 10:17:09 Broker Lawrence Delhagen Subject to Customer Complaints Over Investment Recommendations by Staff Attorney
2019-10-18: Updated: 2019-10-18 10:16:47 Broker Update – Additional Complaint Filed Against Broker William Byrd by Staff Attorney
2019-10-17: Updated: 2019-10-17 13:29:12 Advisor Anthony Hobson Has Complaints Over Alternative Investments by Staff Attorney
2019-10-17: Updated: 2019-10-17 13:28:46 Advisor John Holland Subject to Customer Complaints and Employment Terminations by Staff Attorney
2019-10-16: Updated: 2019-10-16 13:38:58 Joseph Peggs Subject to Numerous Customer Complaints Over Securities Sales Practices by Staff Attorney
2019-10-16: Updated: 2019-10-16 13:38:31 Advisor Jeffrey Davis Has Regulatory Sanction Over REIT Sales by Staff Attorney
2019-10-15: Updated: 2019-10-15 07:58:14 Joshua Stivers Has GPB Capital Investment Complaint by Staff Attorney
2019-10-15: Updated: 2019-10-15 07:57:44 Trevor Rahn Accused by Multiple Clients of Excessive Trading by Staff Attorney
2019-10-14: Updated: 2019-10-14 14:57:35 Broker Dean Kajouras Subject to Multiple Customer Complaints by Staff Attorney
2019-10-14: Updated: 2019-10-14 14:57:11 Bryan Clark Barred By Securities Regulatory Over Private Securities Sales by Staff Attorney
2019-10-13: Updated: 2019-10-13 11:54:17 GPB Capital Investment Recovery Options – Free Consultation by Staff Attorney
2019-10-12: Updated: 2019-10-12 11:59:13 Gurpreet Chandhoke and Stephen Shea Subject to Regulatory Action Over VII Peaks Capital Transactions by Staff Attorney
2019-10-12: Updated: 2019-10-12 11:04:40 Advisor Frederick Stow Discharged Over Client Fund Misappropriation Claims by Staff Attorney
2019-10-11: Updated: 2019-10-11 08:09:24 Advisor Diane Zhu Investigated Over Undisclosed Outside Business Activities by Staff Attorney
2019-10-11: Updated: 2019-10-11 08:08:59 Advisor Robert Montes Investigated Over Missue of Elderly Investor’s Assets by Staff Attorney
2019-10-10: Updated: 2019-10-10 10:28:41 Broker Thomas Marino Subject Allegations of Misusing Client Funds by Staff Attorney
2019-10-10: Updated: 2019-10-10 10:28:19 Advisor Adam Lunceford Has Complaint Over Alternative Investments by Staff Attorney
2019-10-07: Updated: 2019-10-07 09:04:31 Broker James Crosson Subject to Customer Complaints Over Castle Brands Stock Losses by Staff Attorney
2019-10-07: Updated: 2019-10-07 09:04:06 George Shadie Discharged By NYLife Over Securities Sales Practices by Staff Attorney
2019-10-06: Updated: 2019-10-06 13:19:33 Advisor David Volpe Subject to Regulatory Bar Over Unauthorized Securities Sales by Staff Attorney
2019-10-06: Updated: 2019-10-06 13:19:15 John Dobbertin Subject to Customer Complaint and Regulatory Sanction by Staff Attorney
2019-10-03: Updated: 2019-10-03 09:37:26 Summit Brokerage Broker Jeffrey Poosch Subject to a Complaint Over Unauthorized Trading by Staff Attorney
2019-10-03: Updated: 2019-10-03 09:36:58 Advisor Marilyn Zehntner Subject to an Investment Complaint by Staff Attorney
2019-10-01: Updated: 2019-10-01 16:11:48 Advisor Herbert Shiraishi Has Several Variable Annuity Sales Practice Complaints by Staff Attorney
2019-10-01: Updated: 2019-10-01 16:11:20 Michael Stanton Subject to Multiple Customer Complaints Over Securities Trading by Staff Attorney
2019-09-30: Updated: 2019-09-30 08:41:55 Advisor Kerry Hoffman Subject to SEC Securities Fraud Complaint Over GT Media Investment by Staff Attorney
2019-09-29: Updated: 2019-09-29 08:33:09 Advisor Richard Braverman Has Complaints Over Alternative Investments by Staff Attorney
2019-09-29: Updated: 2019-09-29 08:32:43 Centaurus Financial Broker David Crane Subject to Multiple Tax Liens by Staff Attorney
2019-09-27: Updated: 2019-09-27 12:05:18 Advisor Michael Sims Alleged to Have Recommended Unsuitable Energy Securities by Staff Attorney
2019-09-26: Updated: 2019-09-26 12:10:46 Advisor John Boatright Subject to Complaints Over Unsuitable Investments by Staff Attorney
2019-09-26: Updated: 2019-09-26 12:10:00 Broker Sergio Rovner Subject to Multiple Investment Complaints by Staff Attorney
2019-09-25: Updated: 2019-09-25 10:07:21 Broker Marc Korsch Subject to Multiple Investment Complaints by Staff Attorney
2019-09-25: Updated: 2019-09-25 10:06:46 Broker Nick Son Subject to Complaints Over Unauthorized Trading by Staff Attorney
2019-09-24: Updated: 2019-09-24 06:56:36 Broker Mel Hertz Has Several Suitability Complaints by Staff Attorney
2019-09-24: Updated: 2019-09-24 06:56:12 Advisor Anthony Conti Subject to Complaints Over Investment Suitability by Staff Attorney
2019-09-23: Updated: 2019-09-23 09:23:32 Michael Rappa Barred from the Securities Industry Over Private Securities Transactions by Staff Attorney
2019-09-23: Updated: 2019-09-23 09:23:10 Richard Cagle Barred by Financial Regulatory Over Investment Violations by Staff Attorney
2019-09-22: Updated: 2019-09-22 14:29:56 Jeffrey Blutstein Barred From the Securities Industry Over Undisclosed Activity by Staff Attorney
2019-09-22: Updated: 2019-09-22 13:09:27 Brenda Smith and Broad Reach Capital Charged By SEC With Fraud – Investor Recovery Options by Staff Attorney
2019-09-21: Updated: 2019-09-21 16:31:14 Ross Sinclaire & Associates Sanctioned Over Private Placement Practices by Staff Attorney
2019-09-21: Updated: 2019-09-21 12:00:03 Andre Davis Accused by Multiple Clients of Churning Their Accounts by Staff Attorney
2019-09-20: Updated: 2019-09-20 14:22:38 Broker Rick Konecny Has Several Suitability Complaints by Staff Attorney
2019-09-20: Updated: 2019-09-20 14:22:14 Former Broker Paul Soll Barred from the Securities Industry by Staff Attorney
2019-09-18: Updated: 2019-09-18 16:36:58 SagePoint Advisor Paul Mauro Subject to Multiple Investment Complaints by Staff Attorney
2019-09-18: Updated: 2019-09-18 16:36:35 Former Morgan Stanley Advisor Ian Deliz has Numerous Complaints Over Unsuitable Puerto Rico Bond Investments by Staff Attorney
2019-09-16: Updated: 2019-09-16 09:18:50 Broker Douglas Hyer Subject to Multiple Investment Complaints by Staff Attorney
2019-09-16: Updated: 2019-09-16 09:18:26 Broker Stephen Sullivan Subject to Excessive Trading Complaint by Staff Attorney
2019-09-12: Updated: 2019-09-12 11:47:34 Broker John Eads Has Several Complaints Alleging Misrepresentation of Variable Annuities by Staff Attorney
2019-09-12: Updated: 2019-09-12 11:47:08 Advisor Jeffrey Nesseth Subject to Complaints Over Alternative Investments by Staff Attorney
2019-09-10: Updated: 2019-09-10 16:57:19 Lloyd Johnston Subject to Complaints Over Alternative Investments by Staff Attorney
2019-09-10: Updated: 2019-09-10 16:56:29 Broker Michael Arteca Has Several Complaints Over Alternative Investments by Staff Attorney
2019-09-09: Updated: 2019-09-09 09:37:39 Broker Mark Upchurch Subject to Several Investment Complaints by Staff Attorney
2019-09-09: Updated: 2019-09-09 09:36:57 Advisor Bud McLaughlin Has A Complaint and A Bankruptcy Disclosure by Staff Attorney
2019-09-08: Updated: 2019-09-08 10:56:50 Advisor Thomas Murray Has Investment Complaint and Bankruptcy Disclosure by Staff Attorney
2019-09-08: Updated: 2019-09-08 10:51:15 Nicolas Barrios Barred From Financial Industry Over Investment Fraud Allegations by Staff Attorney
2019-07-08: Updated: 2019-07-08 11:12:51 Craig Siegel Has Excessive Trading Complaints – Suspended By Regulator by Staff Attorney
2019-07-03: Updated: 2019-07-03 10:00:06 Berthel, Fisher Advisor Gordon Roberts Has Complaints Over Alternative Investments by Staff Attorney
2019-07-02: Updated: 2019-07-02 10:42:32 Alberto Sanchez Barred From the Securities Industry Over Undisclosed Activity by Staff Attorney
2019-07-02: Updated: 2019-07-02 10:42:13 Matthew Crafa Has GPB Capital Investment Complaint by Staff Attorney
2019-07-01: Updated: 2019-07-01 10:02:58 Benjamin Bourgeois Terminated Over Converting Client Funds – Investor Recovery by Staff Attorney
2019-06-30: Updated: 2019-06-30 07:17:52 James Booth Being Investigated For Taking Money From Clients – Investor Recovery by Staff Attorney
2019-06-28: Updated: 2019-06-28 10:49:46 Advisor Shimshon Plotkin Has Complaints Over Alternative Investments by Staff Attorney
2019-06-27: Updated: 2019-06-27 09:28:18 Stephen Whittaker Discharged By Multiple Firms Over Business Practices by Staff Attorney
2019-06-26: Updated: 2019-06-26 09:18:21 Advisor Richard Pittman Has Complaints Over Alternative Investments by Staff Attorney
2019-06-25: Updated: 2019-06-25 10:23:55 Debra Bourne Has Excessive Trading Customer Complaints by Staff Attorney
2019-06-24: Updated: 2019-06-24 09:54:59 Winfield Capital Partners and Richard Hartnett – Investor Loss Recovery Options by Staff Attorney
2019-06-24: Updated: 2019-06-24 09:54:37 Mariemont Capital Partners and William Kielczewski – Investor Recovery Options by Staff Attorney
2019-06-23: Updated: 2019-06-23 10:00:25 GPB Capital Investors Suffer Massive Losses of Up to 60% – Investment Recovery by Staff Attorney
2019-06-22: Updated: 2019-06-23 08:14:08 Spire Securities’ CEO David Blisk Makes False Statements After Panel Awards $3 Million Against Him by Staff Attorney
2019-06-21: Updated: 2019-06-21 15:53:06 Spire Securities and Principals Found Liable For $3 Million Due to Supervisory Failures by Staff Attorney
2019-06-20: Updated: 2019-06-20 12:19:02 Advisor Craig Sherrer Subject Has Alternative Investment Complaint by Staff Attorney
2019-06-20: Updated: 2019-06-20 12:18:46 John Forrester Has Investment Complaints and Bankruptcy Disclosures by Staff Attorney
2019-06-19: Updated: 2019-06-19 09:03:09 John Busco Has More Than 10 Investment Complaints by Staff Attorney
2019-06-19: Updated: 2019-06-19 09:02:48 Private Placement Recovery Options – Investment Attorney by Staff Attorney
2019-06-17: Updated: 2019-06-17 10:05:20 Michael Bastardi Subject to Multiple Churning Complaints by Staff Attorney
2019-06-17: Updated: 2019-06-17 10:04:03 NorthStar Healthcare REIT Investors Suffer Massive Losses by Staff Attorney
2019-06-16: Updated: 2019-06-16 13:20:15 Gabriel Block Subject to Regulatory Actions and Churning Complaints by Staff Attorney
2019-06-11: Updated: 2019-06-11 12:30:05 Ricky Flatt Terminated Over Taking Money From Clients – Investor Recovery by Staff Attorney
2019-06-11: Updated: 2019-06-11 12:29:45 Wells Fargo Employed Risky Broker Leonard Kinsman by Staff Attorney
2019-06-10: Updated: 2019-06-10 09:57:46 Laidlaw’s Peter Viglione Subject to Multiple Churning Complaints by Staff Attorney
2019-06-10: Updated: 2019-06-10 09:57:21 Dana Hawkins Subject to Customer Disputes Over Structured Products by Staff Attorney
2019-06-07: Updated: 2019-06-07 09:36:14 SEC Brings Action Against Christopher McClure Over Undisclosed Fees by Staff Attorney
2019-06-07: Updated: 2019-06-07 09:35:55 Demos Argyros Subject to Investment Disputes by Staff Attorney
2019-06-06: Updated: 2019-06-06 15:18:43 Mitchell Black Has Several Variable Annuity Sales Practice Complaints by Staff Attorney
2019-06-05: Updated: 2019-06-05 09:33:14 Merrill Lynch Advisor Jeffrey Smith Subject to Multiple Investment Complaints by Staff Attorney
2019-06-05: Updated: 2019-06-05 09:32:56 Peter Goffin Subject to Multiple Investment Complaints by Staff Attorney
2019-06-04: Updated: 2019-06-04 10:56:42 Advisor Michael Lyle Has Annuity Complaints by Staff Attorney
2019-06-03: Updated: 2019-06-03 12:22:52 Advisor Alex Blanco Subject to Complaints Over Annuities and REITs by Staff Attorney
2019-06-03: Updated: 2019-06-03 11:12:48 Advisor Keith Kelt Subject to Complaints Over Alternative Investment Recommendations by Staff Attorney
2019-06-02: Updated: 2019-06-02 17:21:54 SagePoint Advisor Marvin Fisher Subject to A Complaint and Tax Liens by Staff Attorney
2019-05-31: Updated: 2019-05-31 10:28:26 Advisor Christopher Bice Subject to Complaints Over Annuities and REITs by Staff Attorney
2019-05-30: Updated: 2019-05-30 09:16:54 Massachusetts Regulator Investigates Wells Fargo Over Unsuitable Investment Advice by Staff Attorney
2019-05-30: Updated: 2019-05-30 09:16:34 Centaurus Advisor Michael Fassi Subject to Complaints Over Alternative Investment Recommendations by Staff Attorney
2019-05-29: Updated: 2019-05-29 09:54:00 Izhar Shefer Subject to Multiple Investment Complaints Over Options Trading by Staff Attorney
2019-05-29: Updated: 2019-05-29 09:53:38 Michael Mackay Terminated Over Unapproved Product Sales – Investor Recovery by Staff Attorney
2019-05-28: Updated: 2019-05-28 12:13:05 Chris Kubiak Arrested For Misappropriating Client Funds – Investor Recovery by Staff Attorney
2019-05-27: Updated: 2019-05-27 07:34:26 Derrick Trussell Barred Over Unapproved Product Sales – Investor Recovery by Staff Attorney
2019-05-26: Updated: 2019-05-26 08:45:21 Advisor Ashley Woodard Subject to Complaints Over REITs and Alternative Investments by Staff Attorney
2019-05-26: Updated: 2019-05-26 08:44:59 James Bylenga Accused of Borrowing Client Funds – Investor Recovery by Staff Attorney
2019-05-24: Updated: 2019-05-24 10:25:21 Advisor Richard Bernstein Has Investor Complaints by Staff Attorney
2019-05-24: Updated: 2019-05-24 10:25:03 Advisor Michael Greenfield Subject to Investment Complaints by Staff Attorney
2019-05-23: Updated: 2019-05-23 10:14:41 Advisor Kurt Jackson Subject to Complaints Over REIT Investments by Staff Attorney
2019-05-23: Updated: 2019-05-23 10:14:16 Advisor Paul Mante Alleged to Have Recommended Unsuitable Puerto Rico Municipal Bonds by Staff Attorney
2019-05-22: Updated: 2019-05-22 13:17:51 Xavier Patino Sanctioned Over Variable Annuity Sales Practices by Staff Attorney
2019-05-22: Updated: 2019-05-22 13:16:03 Yield Enhancement Strategy (YES) – Did Your Broker Downplay the Risk? by Staff Attorney
2019-05-21: Updated: 2019-05-21 09:11:48 James Heafner Allegedly Sold Fraudulent 1st Global Capital Securities by Staff Attorney
2019-05-21: Updated: 2019-05-21 09:11:25 Advisor Keith Kordich Subject to Customer Complaints Over Investment Practices by Staff Attorney
2019-05-20: Updated: 2019-05-20 09:08:28 William Hobby Subject to 23 Customer Complaints During His Career by Staff Attorney
2019-05-20: Updated: 2019-05-20 09:06:52 Robert High Accused of Misappropriating Funds – Investor Recovery by Staff Attorney
2019-05-19: Updated: 2019-05-19 14:24:42 Advisor James Anderson Terminated Over Promissory Note Sales by Staff Attorney
2019-05-19: Updated: 2019-05-19 11:34:40 Edward Matthes Accused of Misappropriating Funds – Investor Recovery by Staff Attorney
2019-05-18: Updated: 2019-05-22 13:16:41 Yield Enhancement Strategy (YES) Loss Recovery by Staff Attorney
2019-05-15: Updated: 2019-05-15 16:24:22 Summit Brokerage Broker Robert Berg Subject to Customer Complaints by Staff Attorney
2019-05-14: Updated: 2019-05-14 13:25:41 Sanctioned Broker Mohamed Yassin Subject to Excessive Trading Complaints by Staff Attorney
2019-05-08: Updated: 2019-05-08 09:51:02 Peter Bakalis Accused of Forged Client Investment Paperwork by Staff Attorney
2019-05-08: Updated: 2019-05-08 09:50:38 Advisor Mark Lamkin Subject to Complaints Over REIT Investments by Staff Attorney
2019-05-07: Updated: 2019-05-07 09:26:28 Securities America Broker Andrew Burdsall Has Investment Complaints by Staff Attorney
2019-05-07: Updated: 2019-05-07 09:26:10 Broker John Neely Subject to Regulatory Sanctions Over Unauthorized Trading by Staff Attorney
2019-05-06: Updated: 2019-05-06 09:23:49 Thomas Burns Subject to Complaints Over REIT Investments by Staff Attorney
2019-05-06: Updated: 2019-05-06 09:23:31 Raymond James Advisor William Council Alleged to Have Recommended Unsuitable Energy Securities by Staff Attorney
2019-05-04: Updated: 2019-05-04 14:45:18 Hilltop Securities Broker Mark Augusta Subject to 19 Customer Complaints by Staff Attorney
2019-05-01: Updated: 2019-05-01 15:16:40 Advisor Gary Meier Sanctioned by Washington State Over Penny Stock Trading by Staff Attorney
2019-05-01: Updated: 2019-05-01 15:16:18 Broker Jesse Krapf Has A Customer Complaint by Staff Attorney
2019-04-30: Updated: 2019-05-11 13:07:53 Advisor William Gordon Subject to Complaints Over Alternative Investments by Staff Attorney
2019-04-30: Updated: 2019-04-30 16:28:19 Ameriprise Advisor Stan Leavitt Has An Options Trading Complaint by Staff Attorney
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