Oakes & Fosher Law Sitemap
Posts
- Aaron Brodt Allegedly Fails To Conduct The Necessary Due Diligence
- Aaron Parthemer Allegedly Solicits Investments For Unapproved Outside Securities
- Aaron Sheehy Sanctioned By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading
- Aaron Wilbanks Allegedly Recommends Unsuitable Investments
- Abed Lulu Allegedly Excessively Trades A Client’s Account
- Abraham Biderman Barred By FINRA
- Adam Fetterman Allegedly Places Clients Into High Risk Investments Not Suitable For Them
- Adam Fritzsche Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Adam Gerard Belardino Allegedly Misrepresents Investments
- Adam Goodman Allegedly Executes Unauthorized Transactions
- Adam Lopez Allegedly Converts Funds From Multiple Customers
- Adam Lunceford Allegedly Over-Concentrates A Customer’s Portfolio In Unsuitable Non-Traded REITs
- Ahmed Gheith Allegedly Engages In Unauthorized Private Securities Transactions
- Akhil Morada Allegedly Engages In Unsuitable Trading
- Alan Appelbaum Allegedly Recommends Unsuitable Investments
- Alan Dole Allegedly Manages His Customers’ Accounts Negligently
- Alan Douglass Allegedly Invests A Customer In An Unsuitable Non-Traded REIT
- Alan New Allegedly Invests Numerous Customers In Fraudulent Woodbridge Promissory Notes
- Albert Dishner Suspended By FINRA For Allegedly Executing Unauthorized Trades
- Albert Foronda Allegedly Recommends Unsuitable Investments
- Alex Blanco Allegedly Makes Unsuitable Investment Recommendations
- Alex Gierbolini Allegedly Recommends Unsuitable Puerto Rico Municipal Bonds To Numerous Customers
- Alex Herrera Allegedly Converts Customer Funds
- Alexander Kibrik Allegedly Breaches His Fiduciary Duty
- Alfred Weaver Allegedly Made Mistakes When Filling Out Beneficiary Designations
- Allen Schreiber Allegedly Excessively Trades His Customer’s Account To Generate Higher Commissions
- Alvery Anthony Bartlett Of Aegis Capital Corp Allegedly Recommends Unsuitable Investments
- Alvery Bartlett Allegedly Makes Material Misrepresentations About Investments
- Amadou Bah Allegedly Churns His Client’s Account
- Amir Navab Accused Of Fraud, Negligence, And More
- Andre Davis Allegedly Churns His Clients’ Accounts
- Andre Watson Allegedly Engages In An Outside Real Estate Investment Partnership Without Approval From His Member Firm
- Andrew Berleth Allegedly Misrepresents Variable Annuity Features
- Andrew Bloom Allegedly Omits Material Facts
- Andrew Brown Allegedly Recommends An Unsuitable Options Trading Strategy
- Andrew Bruce Elsoffer Allegedly Executes Unauthorized Trades
- Andrew Burdsall Allegedly Misrepresents Key Details About Investments
- Andrew Corbman Allegedly Breaches His Fiduciary Duty
- Andrew Day Allegedly Breaches His Fiduciary Duty
- Andrew Grant Suspended By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading
- Andrew Jay Lowe Suspended By FINRA For Alleged Unsuitable Mutual Fund Recommendations
- Andrew Mandell Allegedly Violates Section 5 Of The Securities Act Of 1933
- Andrew Perry Allegedly Recommends The Highly Unsuitable Yield Enhancement Strategy
- Andrew Scheirer Allegedly Fails To Adequately Disclose The Risks Associated With An Alternative Investment
- Andrew Yocum Receives Numerous Complaints Of Allegedly Recommending Unsuitable Securities
- Angel Edgardo Aquino-Velez Allegedly Over-Concentrates Multiple Customers’ Accounts In Unsuitable Puerto Rico Closed End Funds And Municipal Bonds
- Angelo Talebi Allegedly Invests Customers In Unsuitable REITs and Annuities
- Anteneh Roberts Allegedly Converts Customer Funds
- Anthony Buono Allegedly Breaches His Fiduciary Duty
- Anthony Diaz Allegedly Inflates Customers’ Net Worth
- Anthony Didonato Terminated From Pruco Securities
- Anthony Frederick Hobson Allegedly Makes Material Misrepresentations About A Speculative Non-Traded REIT
- Anthony Joslin Allegedly Makes Material Misrepresentations
- Anthony Mampieri Allegedly Recommends Unsuitable Structured Products
- Anthony Mastroianni Allegedly Converts Customer Funds
- Anthony Roegiers Resigns From Pruco Securities
- Anthony Ross Allegedly Makes Unsuitable Investment Recommendations
- Anthony Sica Allegedly Makes Unsuitable Investment Recommendations To An Elderly Customer
- Anthony T. Conti Allegedly Makes Material Misrepresentations Leading To Loss Of Principal
- Anthony Verzi Barred From The Securities Industry
- Antonio Puente Barred By FINRA Following Allegations Of Engaging In Outside Business Activities
- Anukul Dass Facing Pending Criminal Charges Of Conspiracy, Wire Fraud, And Money Laundering
- Arkady Ginsburg Of Aegis Capital Corp Allegedly Engages In Excessive and Unsuitable Trading
- Arlyn Stokesbary Allegedly Engages In Unauthorized Discretionary Trading
- Arshad Hussain Terminated From Both Edward Jones And Next Financial Group
- Arthur Hoffman Allegedly Executed Private Securities Transactions
- Ashley Arnsdorff Allegedly Makes Material Misrepresentations To A Customer
- Ashley Woodard Allegedly Recommends Unsuitable Non-Traded REITs To Multiple Customers
- ATEL Capital Group
- Atiq Urrehman Khan Terminated From Transamerica Financial Advisors
- Atlas Growth Partners Investors May Have Suffered Serious Damages
- Atul Makharia Allegedly Engages In A Pattern Of Unsuitable Trading
- Audra Stevenson Allegedly Takes Part In Unauthorized Trading
- Austin Morton Allegedly Converts Money From An Elderly Customer With Dementia
- Barrett Schultz Allegedly Fails To Disclose The Extent Of Associated Risks
- Barry Connell Terminated From Morgan Stanley Amidst Allegations Of Misappropriating Funds
- Barry Garapedian Allegedly Recommends Unsuitable Investments
- Barry Hartwyk Allegedly Churns His Clients’ Accounts
- Barry Richter Allegedly Over-Concentrates His Customers’ Account In Unsuitable Securities
- Barry Snyder Allegedly Engages In Excessive And Unauthorized Trading
- Barry Speyer Allegedly Recommends Unsuitable Securities
- Barry Stocker Allegedly Engages In Willfull, Reckless, And Malicious Conduct
- Barry Wold Allegedly Charges Excessive Commissions
- Bart Bohrer Allegedly Breaches His Fiduciary Duty
- Ben Dembla Barred By FINRA After Allegedly Circumventing Merrill Lynch’s Mutual Fund Accumulation Policy
- Benjamin Aibel Allegedly Places Customers In Unsuitable Investments
- Benjamin Bourgeois Allegedly Converts Customer Funds
- Benjamin Herauf Allegedly Forges A Customer’s Signature
- Benjamin Lowder Allegedly Solicits Investments For Fictitious Entities
- Bernard Adair Allegedly Recommends Unsuitable Securities
- Bernard Audet Allegedly Misrepresents Life Insurance Policies To Multiple Customers
- Bernard McGee Allegedly Makes An Unsuitable Recommendation To Liquidate Multiple Annuities
- Bernard Parker Found Guilty Of Securities Fraud
- Bernardo Misseri Allegedly Churns A Customer’s Account
- Beth Debouvre Allegedly Neglects Her Customers’ Accounts
- Bill Downing Allegedly Engages In Excessive Trading
- Bill Libardoni Allegedly Recommends An Unsuitable Variable Annuity
- Billy Zhang Permitted To Resign From AXA Advisors
- Bobby Coburn Allegedly Recommends Unapproved Private Securities
- Brad Lawing Allegedly Recommends Unsuitable Securities
- Bradley Freimark Allegedly Invests Numerous Customers In High-Risk and Illiquid Private Securities
- Bradley Gardner Resigns From LPL Financial
- Bradley Latting Allegedly Converted Funds From An Elderly Customer
- Bradley Mascho Sentenced To 30 Months In Prison Following Conspiracy To Commit Securities Fraud Conviction
- Bradley Renberg Allegedly Places Investors In Unsuitable Investments
- Bradley Taylor Pace Allegedly Misrepresents The Liquidity Of A REIT
- Bradley Tennison Barred By FINRA Following Allegations Of Soliciting Funds For A Fraudulent Investment
- Brandon Rudolph Barred By FINRA Following Allegations That He Engaged In Private Securities Transactions
- Brandon Stimpson Allegedly Implements Unsuitable Investment Strategies
- Brenda Ann Smith Allegedly Breaches Her Fiduciary Duty
- Brent Van Lott Terminated from LPL Financial and Suspended by FINRA
- Brian Court Allegedly Churns His Customers’ Accounts
- Brian Decker Barred By FINRA Following Allegations Of Converting Customer Funds
- Brian Dijulio Allegedly Engages In Unapproved Discretionary Trading
- Brian Hussey Allegedly Engages In Highly Unsuitable Discretionary Trading
- Brian Lawrence Stephan Allegedly Executes Unsuitable Mutual Fund Purchases To Increase His Commissions
- Brian M. Berger Allegedly Misappropriated Funds From Elderly Customers
- Brian Murphy Allegedly Defrauds A Customer By Creating A Bogus Website
- Brian Palkowitsh Allegedly Misrepresents Products To Customers And Beneficiaries
- Brian Panfil Allegedly Recommends Unsuitable Mutual Fund Switches
- Brian Parker Allegedly Forges Customer Signatures
- Brian Radoo Terminated From Next Financial Group
- Brian Rieman Allegedly Makes Unsuitable Recommendations
- Brian Travers Barred By FINRA Following Allegations That He Took Part In An Undisclosed Outside Business Activity
- Brittney Sias Allegedly Breaches Her Fiduciary Duty
- Brody Bray Allegedly Recommends Unsuitable And Fraudulent Investments
- Bruce Barber Terminated From Securities America
- Bruce Edward Smith Allegedly Recommends Unsuitable Non-Traded REITs
- Bruce Plyer Barred By FINRA Following Allegations Of Unauthorized Trading
- Bruce Worthington Allegedly Misappropriates $100,000 From A Customer Over A Twelve Year Period
- Bryan Benson Allegedly Makes Unsuitable Investment Recommendations
- Bryan Clark Allegedly Engages In Unapproved Private Securities Transactions
- Bryan Mazliach Allegedly Excessively Trades In Customer Accounts
- Bryan Musso Allegedly Recommends Unsuitable Alternative Investments
- Bryant Caveness Allegedly Executes Unsuitable Discretionary Trades In Customer Accounts
- Bryon Martinsen Allegedly Recommends Unsuitable Securities
- Business Development Corp. Of America
- Caeron McClintock Allegedly Breaches His Fiduciary Duty
- Cara Paynter Allegedly Recommends Unsuitable Investments
- Carl Antaki Allegedly Recommends Unsuitable Investments
- Carl Cornaglia Allegedly Engages In Fraud Concerning The Sale Of DBSI 2008 Notes
- Carlos Domenech Allegedly Recommends Highly Unsuitable Puerto Rican Closed-End Bond Funds
- Carlos Rodriguez Allegedly Recommends Unsuitable Securities
- Carlos Velazquez Terminated From Waddell & Reed
- Carol Holesha Discharged From LPL Financial
- Caroline Korn Allegedly Makes Unsuitable Investment Recommendations
- Carter Brooks Terminated From Both Edward Jones And Wells Fargo Clearing Services
- Carter Validus Mission Critical REIT II
- Casey Rodriguez Allegedly Engages In Account Churning
- Cecil Dimond Allegedly Recommends Risky And Unsuitable Bonds
- Cecil Nivens Allegedly Makes Multiple Unsuitable Recommendations And Fails To Disclose Tax Consequences
- Cecil Ross Allegedly Engages In Excessive UIT Trading
- Centaurus Financial Broker Timothy Tremblay Allegedly Invests Customers In Unsuitable Non-Traded REITs
- Centaurus Financial Lawsuit: Holding John Starke Accountable
- Chad Hornaday Allegedly Embezzles Customer Funds
- Charla Kabana Barred By FINRA
- Charles Albert Dixon Allegedly Exercises Discretion Without Proper Authorization
- Charles Bloom Allegedly Makes Unsuitable Recommendations
- Charles Bridgers Allegedly Executes Unauthorized Municipal-Bond Transactions
- Charles Doraine Allegedly Engages In Excessive Product Switches
- Charles Euler Allegedly Recommends Unsuitable Investments
- Charles Evan Allegedly Uses Unethical Sales Tactics
- Charles Frieda Barred By FINRA After Allegedly Recommending Unsuitable Energy Sector Securities
- Charles Friedlander Allegedly Makes Unsuitable Investment Recommendations
- Charles Kenahan Allegedly Excessively Trades The Accounts Of Multiple Customers
- Charles Laverty Allegedly Solicits Unapproved Loans From Multiple Customers
- Charles Lundell Allegedly Breaches His Fiduciary Duty
- Charles Lynch Jr. Allegedly Recommends Energy Sector Securities To Countless Customers
- Charles Obryant Allegedly Invests Clients Unsuitably
- Charles Watson Allegedly Makes Unsuitable Investment Recommendations
- Cheryl George Suspended By FINRA
- Chris Kubiak Allegedly Converts Funds From Multiple Customers
- Christian Reaney Allegedly Makes Unsuitable Recommendations
- Christian Troche Allegedly Misappropriates Customer Funds
- Christopher Bice Allegedly Makes Unsuitable Investment Recommendations
- Christopher Burtraw Convicted On Theft Charges
- Christopher Calandrino Allegedly Churns A Client’s Account
- Christopher Cervino Allegedly Defrauds At Least Fifty Investors
- Christopher Conroy Allegedly Engages In Unauthorized Trading
- Christopher D. Bennett Allegedly Recommends Unsuitable Securities And Executes Unauthorized Trades
- Christopher Goslin Allegedly Makes Material Misrepresentations And Omissions
- Christopher Hellman Allegedly Misappropriates Customer Funds
- Christopher Herrmann Allegedly Makes Unsuitable Investment Recommendations
- Christopher Hibbard Discharged From Merrill Lynch Following Allegations Of Converting Customer Funds
- Christopher Jorgensen Allegedly Engages In Excessive Trading
- Christopher Marnelego Allegedly Makes Unsuitable Investment Recommendations
- Christopher Miller Allegedly Engages In Financial Elder Abuse
- Christopher Montgomery Allegedly Misrepresents Municipal Bonds
- Christopher Neston Allegedly Recommends Illiquid Alternative Investments
- Christopher Pennington Allegedly Over-Concentrates A Customer’s Account In Unsuitable Master Limited Partnerships
- Christopher Shaw Allegedly Recommends Unsuitable Alternative Investments
- Christopher Sinkula Allegedly Recommends Unsuitable Securities To Multiple Customers
- Christopher Tolmacs Allegedly Converts Customer Funds For Personal Use
- Christopher Wendel Allegedly Recommends Fraudulent Private Offerings Associated With Woodbridge
- Christos Kalatoudis Allegedly Breaches Contract
- Clarence Mark Tingle Allegedly Engages In Excessive Trading
- Clarence McGill Barred By FINRA
- Class L Annuities
- Clay Hoffman Allegedly Trades Multiple Customers’ Accounts Without Authorization
- Clay Rucker Accused Of Churning, Breach Of Contract, Fraud, And More
- Clayton Wertz Allegedly Solicits A Loan Under Fraudulent Pretenses
- Clement Chichester Allegedly Breaches His Fiduciary Duty
- Clifford Vatter Discharged From His Position At Raymond James Following Allegations Of Unauthorized Trading
- Clifton Roberts Terminated From LPL Financial
- Clint Keener Allegedly Recommends Unsuitable Investments
- Clint Stoffels Allegedly Churns His Customers’ Account
- Coastal Equities’ Luke Michael Johnson Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Coleman Devlin Allegedly Recommends Unsuitable Investments
- Colin Hammer Allegedly Exercises Discretion In Non-Discretionary Accounts
- Corey Lee Mireau Allegedly Makes Highly Unsuitable Private Investment Recommendations
- Cornelius Peterson Pleads Guilty To Bank Fraud, Conspiracy, And Investment Adviser Fraud
- Cory Bataan Allegedly Engages In Unauthorized Trading
- Cory Bataan Of Aegis Capital Corp Allegedly Executes Unauthorized Trades
- Couple Wins $922k Arbitration Claim Over Illiquid Real Estate Investments
- Craig Bonn Allegedly Makes Unsuitable Investment Recommendations
- Craig Dima Allegedly Makes Fraudulent Misrepresentations
- Craig Hodges Allegedly Breaches His Fiduciary Duty
- Craig L. Hayward Allegedly Engages In Fraud
- Craig Langweiler Allegedly Churns His Customers’ Accounts
- Craig Mardany Allegedly Misrepresents Material Facts
- Craig Sherrer Allegedly Breaches His Fiduciary Duty
- Craig Siegel Allegedly Churned His Customers’ Accounts
- Craig Sutherland Allegedly Recommends Unsuitable Investments And Fails To Conduct Due Diligence
- Craig Wakefield Allegedly Makes Unsuitable Investment Recommendations
- Craig Zabala Allegedly Executes Private Securities Transactions
- Customer Accuses Andrew Dinkelmeyer Of Negligent Misrepresentation
- Cynthia Komarek Barred by the FINRA
- Dain Stokes Allegedly Misuses Solicited Funds
- Dale Krueger Allegedly Co-mingles Customer Funds With His Own
- Dale Wright Allegedly Engages In A Predatory Investment Strategy Where He Advised Investors To Pull Equity From Their Homes
- Dallas York Allegedly Converts Customer Funds
- Damian Bell Allegedly Fails To Conduct Due Diligence Regarding Alternative Investments
- Dan King Allegedly Recommends An Unsuitable Private Placement
- Dana Hawkins Allegedly Recommends Unsuitable Investment Recommendations
- Dana Vietor Allegedly Fails To Disclose Promissory Note Sales
- Danard Brown Allegedly Makes Unsuitable Investment Recommendations To An Elderly Investor
- Daniel Davila Allegedly Recommends Highly Unsuitable Alternative Investments
- Daniel Fischer Barred By The Securities And Exchange Commission
- Daniel Gamache Allegedly Makes Unsuitable Recommendations
- Daniel Irving Allegedly Marks Solicited Trades As Unsolicited
- Daniel Joe Wilson Allegedly Converts Customer Funds
- Daniel Jossen Allegedly Misrepresents Investments
- Daniel Kittner Allegedly Exercises Discretion Without The Proper Authorization
- Daniel Lauletta Accused Of Negligence
- Daniel Maughan Allegedly Churns His Customer’s Trust Account
- Daniel Moran Allegedly Fails To Follow His Customer’s Instructions
- Daniel Morris Allegedly Executes Unauthorized Trades
- Daniel Philip Raupp Allegedly Recommends Unsuitable Investments
- Daniel Pimental Allegedly Engages In Churning
- Daniel Pugel Allegedly Violates Blue Sky Laws
- Daniel Raupp Allegedly Recommends Unsuitable Non-Traded REITs
- Daniel Rozzi Allegedly Makes Material Misrepresentations And Omissions
- Daniel Todd Levine Allegedly Engages In Undisclosed Business Activities Without Authorization
- Daniel Tompkins Allegedly Engages In Unauthorized Trading
- Daniel Vazquez Allegedly Misappropriates Customer Funds
- Daniel Winger Barred By FINRA For Alleged Fund Conversion
- Darnell Mote Allegedly Engages In Unapproved Outside Business Activities
- Darrell Hesford Allegedly Executes An Unauthorized Trade
- Darrell Rideaux Allegedly Recommends Unapproved Private Placements
- Darren Kubiak Allegedly Places Investors In The Highly Unsuitable GPB Capital Funds
- Darren Oglesby Allegedly Breached His Fiduciary Duty
- Daryl Serizawa Allegedly Recommends Unsuitable Private Investment Funds
- David Antypas Allegedly Engages In Financial Elder Abuse
- David Beutler Allegedly Makes Unsuitable Investment Recommendations
- David Bolton Allegedly Institutes An Unsuitable Short-Term Trading Strategy
- David Braeger Allegedly Converts $30,000 From Member Firm Customers For His Own Personal Use
- David Colflesh Allegedly Fails To Communicate Mutual Fund Risks To Numerous Customers
- David Dalton Suspended By FINRA For Allegedly Executing Unauthorized Discretionary Trades
- David Fagenson Allegedly Unsuitably Trades The Accounts Of Three Elderly Customers
- David Fenning Allegedly Manages Customers’ Accounts With Negligence
- David Fleming Allegedly Breaches His Fiduciary Duty
- David Hydrick Allegedly Converted Customer Funds
- David Janny Allegedly Executes Unauthorized Trades
- David Karandos Allegedly Recommends High-Risk, Illiquid, Alternative Investments, Including Non-Traded REITs.
- David Kendrick Allegedly Forms Unapproved Investment Club Designed To Solicit Funds For Private Investments
- David Kennon Allegedly Recommends Highly Risky And Speculative Investments
- David Kondracke Allegedly Makes Unsuitable Investment Recommendations
- David Kraft Allegedly Makes Material Misrepresentations Concerning Mutual Fund Investments
- David Krumrey Allegedly Breaches His Fiduciary Duty
- David Lomedico Allegedly Recommends Unsuitable Transactions
- David Lowenthal Allegedly Fails To Disclose The Risks Associated With Derivatives
- David Mallett Allegedly Churns A Customer’s Account
- David Manor Allegedly Makes Material Misrepresentations
- David McMillen Allegedly Recommends Unsuitable and Illiquid Securities
- David Pappas Allegedly Executes Unauthorized Trades
- David Phillips Allegedly Recommends An Unsuitable Security
- David Reynolds Allegedly Misappropriates Customer Funds
- David Ridenour Allegedly Invests Customers In Speculative And High-Risk Stocks And Bonds
- David Rockwell Allegedly Misappropriates Customer Funds
- David Schmerber Allegedly Makes Unsuitable Investment Recommendations
- David Seigerman Allegedly Misappropriates Customer Funds
- David Shapiro Allegedly Trades A Customer’s Account Excessively
- David Strnad Allegedly Churns His Customer’s Account
- David Sullivan Allegedly Executes Unauthorized Transactions
- David Sung Wook Park Allegedly Recommends Unsuitable Investments
- David Unsworth Jr. Suspended By FINRA Following Allegations Of Engaging In Unauthorized Private Securities Transactions
- David W. Stewart Terminated From IBN Financial Services
- David Weisberg Sanctioned By FINRA For Allegedly Excessively Trading Customers’ Accounts
- David Wilson Allegedly Misrepresents Investments
- Dawei Wang Discharged From Merrill Lynch
- Dawn Bennett Allegedly Operates A $20 Million Ponzi Scheme
- Dean Grant Faces Criminal Charges Of Insurance Fraud, Forgery, and Theft By Taking
- Dean Kajouras Allegedly Fails To Diversify His Customers’ Portfolios
- Deanne Lampe Discharged From Morgan Stanley Following Allegations Of Reusing Customer Signatures
- Debra Bourne Allegedly Trades Her Customers’ Accounts Unsuitably
- Dee Dee Brooks Resigns From Signator Investors Amidst Allegations Of Investing Customer Funds In A Fraudulent Ponzi Scheme
- Delio Londono Allegedly Places A Client In Unsuitable Investments
- Demitrios Hallas Allegedly Misappropriates Customer Funds
- Demos Argyros Allegedly Churns A Customer’s Account
- Dennis Ayre Allegedly Over-Concentrates Customers’ Accounts In Risky Investment Options
- Dennis Beeby Allegedly Recommends Private Securities Without Authorization From His Firm
- Dennis C. Lee Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Dennis Contrestano Terminated From RBC Capital Markets For Unauthorized Use of Discretion
- Dennis Fearing Allegedly Overconcentrates In Privately Traded Products
- Dennis Hayes Allegedly Places Member Firm Customers In Unsuitable Private Investments
- Dennis Mehringer Jr. Allegedly Recommends Unsuitable And Excessive Short-Term Mutual Fund Switches
- Dennis Nakamura Allegedly Recommends Unsuitable Investments
- Dennis Rasmusson Allegedly Trades A Customer’s Account Excessively
- Dennis Van Patter Allegedly Invests A Customer In Illiquid And Speculative Investments
- Derek Nierman Allegedly Misappropriates Customer Funds
- Derrick Trussell Terminated From PFS Investments
- Devin Wicker Allegedly Converts Customer Funds To Pay For His Company’s Operating Costs
- Dion Padilla Allegedly Misrepresents Variable Annuity Details To Multiple Customers
- Domingo Gonzalez Allegedly Deposits Client’s Check Into His Personal Account
- Dominic Tropiano Allegedly Recommends Highly Unsuitable Leveraged ETFs
- Don Traywick Suspended By FINRA
- Donald Joseph Fowler Allegedly Churns Customer’s Accounts
- Donald Kartoon Allegedly Fails To Follow The Instructions Of Multiple Customers And Recommends Unsuitable Investments
- Donald Leary Jr. Allegedly Engages In An Outside Business Venture Not Approved By His Member Firm
- Donald Preston Resigns From PFS Investments Following Allegations Of Recommending Highly Unsuitable Annuity Switches
- Donald Teboe Barred By FINRA Following Allegations Of Unsuitable Trading
- Donald Toomer Allegedly Initiates “Pump and Dump” Scheme
- Donald Woods Allegedly Makes Material Misrepresentations To Multiple Customers
- Donna Barnard Allegedly Recommends Fraudulent Woodbridge Products
- Donna Hines Allegedly Makes Material Misrepresentations
- Donnell Bowen Allegedly Forges Numerous Customers’ Signatures
- Douglas Alexander Allegedly Makes Unsuitable Investment Recommendations
- Douglas Gildenmeister Terminated Following Allegations Of Unauthorized Discretionary Trading
- Douglas Havel Allegedly Misrepresents The Details Of A Customer’s Variable Annuity
- Douglas Lamb Allegedly Recommends Highly Unsuitable Leveraged ETFs
- Douglas Leone Barred By FINRA In Connection With Excessive And Unsuitable Trading
- Douglas P. Simanski Operates An Alleged Ponzi Scheme Disguised As Tax-Free Investments
- Douglas Studer Allegedly Engages In Unauthorized Trading
- Drew Wiener Allegedly Churns Clients’ Accounts
- Dudley Stephens Allegedly Trades His Clients’ Accounts Excessively
- Dustin Christopherson Allegedly Recommends Unsuitable “Tenancy In Common” Products
- Dustin Shafer Allegedly Recommends Unsuitable Alternative Investmetns
- Dwarka Persaud Allegedly Churns Multiple Customers’ Accounts
- Earle Tingley Allegedly Accepts A $35,000 Loan From A Customer
- Eddie Shechter Allegedly Reuses Customer Signatures On Discretionary Trading Forms
- Eduard Leytman Allegedly Breaches A Contract With A Customer
- Edward Ashbaugh Allegedly Recommends Investments That Do Not Match The Conservative Risk Portfolio
- Edward Beyn Barred From Acting As A Securities Broker In Any Fashion Following Accusations Of Churning
- Edward Herbst Allegedly Engages In Unsuitable Trading
- Edward Matthes Allegedly Defrauded Customers With “Ponzi Scheme”
- Edward Mirabella Allegedly Churns His Clients’ Accounts
- Edward Murphy Allegedly Executes Unsuitable UIT Trades
- Edward O. Daniel Barred By FINRA
- Edward Rosenblatt Allegedly Misrepresents An Investment To His Customer
- Edward Rudiger Allegedly Engages In Excessive Trading
- Eladio Santiago Allegedly Mismanages His Customers’ Accounts
- Elderly Investor Wins $2.6 Million From Indie Firm In FINRA Arbitration
- Eldridge Parks Allegedly Recommends Unsuitable Securities
- Elizabeth Guarino Allegedly Places An Elderly Customer Into Unsuitable Oil And Gas Limited Partnerships
- Ellen Vratoric Allegedly Engages In A Pattern Of Recommending Unsuitable Annuities
- Elliot Harris Allegedly Churns His Clients’ Accounts
- Ellis Luken Allegedly Makes Unsuitable Investment Recommendations To A Customer
- Elvis Parkes Allegedly Makes Multiple Unsuitable Investment Recommendations
- Emil Skyba Barred By FINRA Following Allegations Of Altering New Account Forms
- Enrique Lopez Allegedly Recommends Highly Unsuitable Non-Traded REITs
- Eric Korhut Allegedly Executes Numerous Unauthorized Trades
- Eric Kuchel Allegedly Executes Unauthorized Trades
- Eric Kunis Allegedly Engages In Unsuitable Short-Term UIT Trading
- Eric Nichols Allegedly Recommends Unsuitable Securities
- Eric Savell Allegedly Recommends An Unapproved Private Security
- Eric Stubbe Allegedly Recommended Highly Unsuitable Puerto Rico Municipal Bonds And Closed-End Funds
- Eric Stuckey Allegedly Fails To Disclose Investment Risks
- Eric Wegner Allegedly Omits Material Facts In Connection With TIC Investments
- Eric Weschke Allegedly Recommends An Unsuitable GPB Private Placement Product
- Eric Zakarin Allegedly Engages In Churning
- Erik Drewes Allegedly Excessively Trades Customer Accounts
- Erik Littlejohn Allegedly Fails To Disclose Associated Risks
- Erik Pica Allegedly Converts An Elderly Customer’s Funds
- Erin Verespy Allegedly Misappropriates Customer Funds
- Ernest Romer Embezzels Millions Of Dollars From Numerous Customers
- Ernest Sean Mishne Allegedly Recommends Unsuitable Investments
- Erryn Barkett Allegedly Recommends Illiquid Alternative Investments And Annuities
- Ethan De Naray Terminated From Merrill Lynch
- Eugene Freund Allegedly Recommends High Risk Municipal Bonds
- Ezri Shechter Allegedly Has Customers Sign Blank Discretionary Trading Forms
- Fadi Soliman Allegedly Executes Unauthorized Trades
- Feisal Malik Allegedly Recommends Unapproved Equity Index Annuities
- Felix Chu Allegedly Misleads Customers Into Purchasing Unsuitable Promissory Notes
- Fernando Gonzalez Allegedly Breaches His Fiduciary Duty
- FINRA Arbitration Law Firm Oakes & Fosher Fights Northland Securities Broker Robert Herje
- FINRA Suspends Arthur Meunier For Two Years and Fines Him $20,000
- Floyd Powell Allegedly Recommends A Fraudulent Woodbridge Investment Fund
- Francesco Puccio Allegedly Misappropriates Funds
- Francesco Scarso Allegedly Misrepresents And Omits Material Facts
- Francis Ciabattoni Allegedly Recommends Unsuitable Investments
- Francis Gendlek Allegedly Manipulates Investors While Running A Ponzi Scheme
- Francisco Faraco Allegedly Executes An Unauthorized Bond Transaction
- Francisco Ortiz Allegedly Falsifies A Wire Transfer Request Form
- Frank Bazan Suspended By FINRA Following Allegations Of Not Disclosing Outside Business Activities
- Frank Dietrich Allegedly Invested Multiple Member Firm Customers In The Unapproved Woodbridge Mortgage Investment Funds
- Frank Esposito Allegedly Executes Unsuitable Non-Traded REIT Transactions
- Frank Hamrak Allegedly Breaches His Fiduciary Duty
- Frank Kelly Allegedly Makes Unsuitable Investment Recommendations
- Frank Venable Allegedly Exercises Discretion Without The Proper Authorization
- Frank Venturelli Allegedly Executes Unsuitable Trades
- Franz Helmut Lambert Allegedly Churns Customers’ Accounts
- Fred Berens Allegedly Recommends High-Risk Investments In Puerto Rican Bonds
- Fred Brisker Terminated From Parkland Securities
- Fred R. Brown Allegedly Solicits Fraudulent Loans From Multiple Customers
- Frederick Olson Discharged from Oak Ridge Financial Services Group Following Allegations Of Negligence
- Frederick Stow Allegedly Misappropriates Customer Funds
- Fredrick Randhahn Allegedly Issues Fraudulent Promissory Notes
- Furman Alexander Ford Allegedly Withdraws Funds From A Customer’s Charitable Trust-Owned Variable Annuity
- Gabriel Block Allegedly Engages In The Unsuitable Trading Of Customer Accounts
- Gabriel Hynes Allegedly Makes Material Misrepresentations About “Guaranteed” Dividends
- Gaetano Manganelli Allegedly Manages A Customer Account Negligently
- Garland James Allegedly Fails To Follow Instructions
- Garnet Wahlund Allegedly Misrepresents The Terms Of A Variable Life Insurance Policy
- Garry Nelson Savage Jr. Allegedly Breaches His Fiduciary Duty
- Gary Barth Allegedly Misrepresents Material Facts About Non-Traded REITs
- Gary Basralian Allegedly Converts Funds From Multiple Customers
- Gary Benson Allegedly Converts Customer Funds
- Gary Boyt Allegedly Converts Customer Funds
- Gary Forrest Allegedly Sells Non-Traded REITs Associated With An Enourmous Ponzi Scheme
- Gary Gray Allegedly Exercises Discretion Without The Proper Authorization
- Gary Guglielmo Allegedly Trades A Customer’s Account Excessively
- Gary Hammond Allegedly Recommends Deceptive Private Transactions
- Gary Meier Allegedly Recommends Unsuitable Investments
- Gary Pevey Allegedly Issues Unsuitable Promissory Notes
- Gary Saitowitz Allegedly Invests Multiple Customers In Unsuitable Non-Traded REITs
- Gary Strange Allegedly Receives Multiple Large Loans From Member Firm Customers Without Authorization
- Gautam Arora Terminated From Transamerica Financial Advisors
- Gene Esplin Allegedly Recommends Unsuitable Alternative Investments
- Genevieve Mar Allegedly Fails To Adequately Disclose Risks Associated With Investments
- Geoffrey Turner Allegedly Recommends Unsuitable L-Share Variable Annuities
- George Dance Allegedly Makes Unsuitable Recommendations
- George Mathis Allegedly Recommends Unsuitable Securities
- George McCaffrey Allegedly Takes Part In Unapproved Private Securities Transactions
- George Nikolakakos Allegedly Violates State And Federal Securities Laws
- George Oldoerp Allegedly Recommends Unsuitable And Illiquid Investments
- George Puliafico Allegedly Breaches A Customer Contract
- George Schmidt Allegedly Makes Unauthorized Annuity Withdrawals
- George Shadie Allegedly Recommends Unsuitable Annuities
- George Strnad Allegedly Recommends Unsuitable Securities
- Gerald Cocuzzo Allegedly Engaged In A Fraudulent Investment Scheme That Included Accepting Bribes
- Gerald Coyne Alleged Makes Material Misrepresentations About Variable Annuities
- Gerald Dewes Allegedly Engages In Selling Away
- Gerald Eaton Allegedly Facilitates Fraudulent Distributions From Customer Accounts
- Gerald Repasz Allegedly Makes Unsuitable Investment Recommendations
- Gerard Crean Allegedly Breaches His Fiduciary Duty
- Gerardo Latimer-Janer Allegedly Misrepresents Puerto Rico Municipal Bonds As Safe Investments To Multiple Customers
- Ghazaleh Ebrahimi Allegedly Engages In Financial Elder Abuse
- Ghazaleh Kayvan Ebrahimi of Aegis Capital Corp Allegedly Misrepresents Investments
- Gil Sharon Allegedly Trades His Customers’ Accounts Excessively
- Glen Delaney Allegedly Breaches His Fiduciary Duty
- Glen Webster Allegedly Fails To Communicate Tax Consequences Associated With Liquidation
- Glenn Dornsife Allegedly Manages A Customer Account Negligently
- Glenn King Allegedly Fraudulently Misrepresents Details Of UIT Transactions
- Gopi Vungarala Allegedly Misrepresents Non-Traded REIT Transactions To His Customer
- Gordon M. Roberts Allegedly Makes Material Misrepresentations About Investments
- GPB Capital arbitration awards piling up on wealth managers
- GPB Capital Holding Funds Operating As A Ponzi Scheme
- GPB Capital Holdings News: What You Need to Know
- Gregg Templeton Allegedly Misuses Customer Funds
- Gregory Adamo Terminated From Allstate Financial Services
- Gregory Anastos Allegedly Churns The Account Of An Elderly Couple
- Gregory Collier Allegedly Executes Unauthorized Trades
- Gregory Dean Allegedly Churns The Accounts Of Multiple Customers
- Gregory Hill Allegedly Fails To Conduct The Necessary Due Diligence
- Gregory Jon Williams Allegedly Engages In Securities Fraud
- Gregory Levine Discharged From First Allied Securities
- Gregory Ricker Allegedly Breaches His Fiduciary Duty
- Gregory Rusnak Discharged From Sigma Financial Corporation Following Allegations Of Exercising Discretion Without Proper Authorization
- Gregory Spencer O’Brien of Aegis Capital Corp Allegedly Breaches Fiduciary Duty
- Gregory Tucker Allegedly Over-Concentrates Customer Accounts
- Gregory Voigt Allegedly Engages In Excessive Trading
- Gregory Young Allegedly Makes Material Misrepresentations About Variable CDs
- Grover Hinebaugh Allegedly Makes Unsuitable Recommendations
- Guillermo William Valladolid Allegedly Improperly Sold Investments Away From His Member Firm
- Gurdev Singh Mann Terminated From NyLife Securities
- Guy Conger Allegedly Used Discretion In Non-Discretionary Accounts
- GWG Holdings Defaults On L Bonds Interest Payments
- Halil Kozi Allegedly Churns A Customer’s Account
- Hank Werner Allegedly Churned The Accounts Of An Elderly, Blind Customer
- Harold Connell Barred By FINRA Following Alleged Misrepresentation
- Harold Couglar Barred By FINRA
- Harold Lauber Allegedly Fails To Fulfill His Fiduciary Responsibilities
- Harold Pomeranz Allegedly Recommends Unsuitable UIT Transactions
- Harvey Kaluzna Allegedly Makes Material Misrepresentations
- Heath Bowen Allegedly Implements Unsuitable Options Trading Strategies
- Heather VanLandingham Allegedly Transfers Funds To An Impostor
- Heather Weber Allegedly Makes Material Misrepresentations And Omissions Of Material Facts
- Hector May Allegedly Defrauds Numerous Customers Through A Multi-Million Dollar Ponzi-Scheme
- Hector Ramos Allegedly Recommended Unsuitable Investments
- Henry Klausman Allegedly Mismanages Customer Accounts
- Henry Veit Allegedly Breaches His Fiduciary Duty
- Henry Watson Allegedly Charges A Customer Excessive Commissions
- Herbert Hafen Allegedly Misappropriates Customer Funds While Operating A Seven Year Long Investment Scheme
- Hernany Martinez Allegedly Exercises Discretion In Non-Discretionary Accounts
- Highlands REIT
- Hilary Zimmerman Accused Of Fraud, Negligence, And Much More
- Hospitality Investors Trust, Previously Known As ARC Hospitality Trust
- How Long Does the FINRA Arbitration Process Take?
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2x Monthly Leveraged Alerian MLP Infrastructure Index ETN (MLPQ)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2xLeveraged Long Wells Fargo Business Development Company ETN (LBDC)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2xLeveraged Long Wells Fargo Business Development Company Index ETN (BDCL)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2xMonthly Leveraged S&P MLP Index ETN Series B (MLPZ)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN (CEFL)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN (CEFZ)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Diversified High Income ETN (DVHL)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN (MORL)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN (MRRL)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged MSCI US REIT INDEX ETN (LRET)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged U.S. High Dividend Low Volatility ETN (HDLV)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged US Small Cap High Dividend ETN (SMHD)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN (LMLP)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Reset 2xLeveraged ISE Exclusively Homebuilders ETN (HOML)
- How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS ProShares Daily 3x Inverse Crude ETN linked to the Bloomberg WTI Crude Oil Subindex (WTID)
- Howard Genden Allegedly Recommends An Unsuitable Annuity
- Howard Utz Allegedly Converts Customer Funds Through A Fraudulent Private Investment
- Hugh Levey Barred From The Securities Industry
- Hyun Sik Cho Allegedly Makes Unsuitable Investment Recommendations
- Ian Deliz Morales Has Been The Subject Of Numerous Customer Complaints In Connection With Puerto Rican Securities
- Ian Greenblatt Allegedly Engages In Financial Elder Abuse
- Imran Razvi Allegedly Fails To Disclose Associated Risks
- Investor Claims Michael Ralston Gave Them Unsuitable Recommendations
- Is Whole Life Insurance a Good Investment for Retirement?
- Israel Torres Allegedly Breaches His Fiduciary Duty
- Izhar Shefer Allegedly Makes Numerous Unsuitable Investment Recommendations
- J. Gordon Cloutier Jr. Allegedly Asks A Customer For A Personal Loan
- J. Randall Gladden Allegedly Recommends An Unsuitable Variable Annuity
- Jack Bruscianelli Allegedly Breaches His Fiduciary Duty
- Jack David Stone Allegedly Engages In Unauthorized Discretionary Trading
- Jack Owens Allegedly Liquidates Customers’ Annuities Subjecting Them To Penalties And Losses
- Jack William Teboda Allegedly Recommends Unsuitable Non-Traded REITs
- Jaime Westenbarger Allegedly Converts Customer Funds
- James Bashaw Allegedly Recommends Unsuitable Promissory Notes
- James Bylenga Allegedly Solicits A Loan From A Customer Under False Pretenses
- James Clay Allegedly Takes Part In An Undisclosed And Unapproved Outside Business Activity
- James Conaway Allegedly Provides Inaccurate Information Regarding His Outside Business Engagements
- James Cordier Loses Investor Funds Through His Hedge Fund Designed For Naked Option Selling
- James Crawford Allegedly Breaches His Fiduciary Duty
- James Dee Carlson Allegedly Exercises Discretion Without The Proper Authorization
- James Dresselaers Allegedly Recommends Highly Unsuitable Non-Traditional ETFs
- James Duffy Allegedly Recommends Unsuitable Puerto Rico Municipal Bonds
- James E. Lyons Discharged From Raymond James & Associates And Barred By FINRA
- James Earl Allegedly Makes Unsuitable Investment Recommendations
- James Eichner Allegedly Trades His Clients’ Accounts Excessively
- James F. Anderson Allegedly Recommends Unsuitable Promissory Notes
- James Flower Allegedly Churns Multiple Clients’ Accounts
- James Haskins Allegedly Invested A Customer’s Retirement Assets In An Overly Aggressive Manner
- James Heafner Allegedly Invests Customers In Unregistered Securities Away From His Member Firm
- James Kirchner Allegedly Recommends Unsuitable Private Placements
- James Knee Deceptively Recommends Unsuitable Annuities
- James Kolf Allegedly Converts Over $500,000 For His Own Personal Use
- James Kujawski Allegedly Takes Part In Unapproved Private Securities Transactions
- James Lamont Allegedly Recommends Customers Invest In The Fraudulent Woodbridge Group Of Companies
- James Larkin Powers Allegedly Converts Customer Funds
- James Lunsford Allegedly Creates And Recommends The Highly Unsuitable Jadda Fund
- James Marino Allegedly Converts Customer Funds Over A Three Year Period
- James Meagher Barred By FINRA Following Allegations That He Took Part In Two Separate Fraudulent Schemes
- James Means Allegedly Engages In Unauthorized Trading
- James Michael Kennedy Allegedly Engages In Unauthorized Discretionary Trading
- James Parrelly Suspended By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading
- James Polese Terminated From Morgan Stanley Following Allegations Of Misappropriating Customer Funds
- James Schwartz Barred By FINRA Following Allegations Of Churning
- James Sparacino Allegedly Executes Unsuitable Transactions
- James Stowell Suspended For Allegedly Liquidating A Customer’s Mutual Fund Without Authorization
- James T. Booth Allegedly Converted Customer Funds For His Own Personal Use
- James Tao Allegedly Misappropriates Customer Funds While Operating A Ponzi Scheme
- James Travis Flynn Allegedly Recommends Illiquid Alternative Investments
- James Unger Allegedly Misappropriates $267,664 From A Customer Over A Four Year Period
- James Ward Resigns Amidst Allegations Of Misappropriating Funds
- James Willard Clark Allegedly Recommends Unsuitable Investments
- Jamil Ahmed Allegedly Breaches His Fiduciary Duty
- Jan Earl Haynes Allegedly Misrepresents Unsuitable Investments
- Jarett Liddicoat Allegedly Makes Material Misrepresentations
- Jason Bradley Schwartz Allegedly Makes Numerous Unsuitable Investment Recommendations
- Jason Brienen Discharged From Raymond James Financial Services
- Jason Dohaney Allegedly Fails To Transfer A Customer’s Assets
- Jason Klabal Allegedly Churns Multiple Customers’ Accounts
- Jason Labelle Allegedly Makes Material Misrepresentations About A Promissory Note
- Jason N. Anderson Allegedly Churns Multiple Clients’ Accounts
- Jason Wilk Allegedly Engages In Common Law Fraud
- Jason Williams Allegedly Fails To Diversify A Customer’s Account
- Jason Zwibel Allegedly Breaches His Fiduciary Duty
- Jasper Boykin Jr. Discharged From MetLife Securities
- Jay Dee Jordan Allegedly Implements A Highly Unsuitable Trading Strategy Involving Non-Traditional ETFs
- Jay Wallinger Allegedly Recommends Unsuitable Investments
- Jay Weil Allegedly Chooses Investments Based On Commissions
- Jay Weiser Discharged From Despain Financial
- Jeannette Adcock Allegedly Misleads Customers
- Jed Tinder Allegedly Recommends Unregistered Securities To Multiple Investors
- Jefferey Dyra Allegedly Misappropriates A Customer’s Funds
- Jeffery Kelly Allegedly Converts Customer Funds
- Jeffrey Alan Fladell Allegedly Misrepresents Investments To An Elderly Investor
- Jeffrey Cadan Allegedly Trades His Customer’s Accounts Excessively
- Jeffrey Cohen Allegedly Recommends Unsuitable Alternative Investments
- Jeffrey Conklin Allegedly Writes A Series Of Bad Checks
- Jeffrey David Stanga Allegedly Misrepresents Private Placements
- Jeffrey Dixson Allegedly Recommends Unsuitable Alternative Investments
- Jeffrey Dragon Allegedly Recommends An Unsuitable UIT Trading Strategy To Multiple Customers
- Jeffrey Grayson Allegedly Over-Concentrates His Customers’ Portfolios In Unsuitable Investments
- Jeffrey Kennedy Allegedly Recommends Unsuitable Investments
- Jeffrey Kinder Allegedly Engages In Excessive UIT Trading
- Jeffrey Labelle Allegedly Recommended Unsuitable Investments
- Jeffrey Lon Smith Allegedly Provided Incorrect Information
- Jeffrey Mchale Allegedly Over-Concentrates Customer Accounts In Unsuitable Equities
- Jeffrey Nesseth Allegedly Recommends Unsuitable Non-Traded REITs
- Jeffrey Nimmow Allegedly Recommends Highly Fraudulent Woodbridge Securities
- Jeffrey Palish Barred By FINRA For Alleged Fund Conversion
- Jeffrey Parson Allegedly Recommends Unsuitable Securities
- Jeffrey Paul Davis Allegedly Over-Concentrates His Customers’ Accounts In Unsuitable Non-Traded REITs
- Jeffrey Rahm Terminated From Stifel, Nicolaus & Company
- Jeffrey Rand Miller Allegedly Breaches Contract
- Jeffrey Schwebach Allegedly Recommends A Highly Unsuitable Non-Traded REIT To Multiple Customers
- Jeffrey Vanover Allegedly Provides Customers With Unsuitable Advice
- Jennifer Ling Allegedly Fails To Adequately Disclose Risks Associated With Promissory Note Investments
- Jeremy Rosen Allegedly Recommends Unsuitable Investments
- Jermaine Joseph Allegedly Co-Mingles Customer Funds With His Own Personal Funds
- Jerome Poole Allegedly Recommends Unsuitable Securities
- Jerry Guttman Terminated From United Planners Financial Services And Barred By FINRA
- Jerry McCutchen Allegedly Invests Numerous Customers In Unsuitable Non-Traded REITs
- Jerry Michna Allegedly Recommends Unsuitable Energy Sector Securities
- Jerry Raines Allegedly Invests Numerous Customers In The Highly Unsuitable Woodbridge Mortgage Investment Funds
- Jerry Westling Allegedly Recommends An Unsuitable Product
- Jerry Willborn Allegedly Makes Material Misrepresentations
- Jesse Kovacs Suspended By FINRA For Allegedly Participating In Private Securities Transactions
- Jesse Krapf Allegedly Breaches His Fiduciary Duty
- Jesse Webb Allegedly Takes Advantage Of An Investor’s Disability
- Jesus Rodriguez Allegedly Breaches His Fiduciary Duty
- Jill Cody Allegedly Engages In Fraud And Unauthorized Trading
- Jill Jester v Dinosaur Financial Group
- Jim King Mui Allegedly Unsuitably Recommends A Customer Surrender An Annuity
- Jimmy Forbis Allegedly Recommends An Unsuitable Variable Annuity
- Jimmy Kuhn Allegedly Breaches Of Contract
- Jimmy Makris Allegedly Recommends Unsuitable Investments To Multiple Customers
- Jimmy Moscoso Allegedly Converts $20,000 From An Elderly Customer For Personal Use
- Jingbo Pan Allegedly Breaches His Fiduciary Duty
- Joan Norton Allegedly Fails To Adequately Explain The Workings Of An Annuity
- Jodie LaMarre Suspended By FINRA Following Allegations Of Giving Poor Investment Advice
- Jody Bowers Allegedly Recommends Unsuitable Investments
- Jody Thompson Suspended by FINRA For Allegedly Recommending Unsuitable Investments
- Joe Allbright Suspended By FINRA For Allegedly Soliciting Private Investments
- Joe Pazmino Allegedly Engages In Excessive Trading
- Joeann Walker Barred By FINRA Following Allegations Of Purchasing Unsuitable Annuities
- Joel Davidman Allegedly Exercises Discretion Without Proper Authorization
- Joel Flaningan Allegedly Recommends A Fraudulent Security Operating As A Ponzi Scheme
- Joel Webber Allegedly Misrepresents Income Benefit Riders For Variable Annuities
- John A. Busco Allegedly Recommends Unsuitable Investments
- John Atchison Allegedly Engages In Unauthorized Discretionary Trading
- John Boatright Allegedly Makes Unsuitable Investment Recommendations
- John Borsellino Allegedly Allows Customers To Incur Unnecessary Fees
- John Bryant Discharged From Wells Fargo
- John Cahill Allegedly Converts An Elderly Individual’s Funds
- John Casimir Allegedly Over-Concentrates A Customer’s Portfolio In A Puerto Rico Municipal Bond Position
- John Chrysadakis Allegedly Engages In Forgery
- John Cione Allegedly Makes Unsuitable Investment Recommendations
- John Correnti Barred From The Securities Industry
- John Crain Allegedly Has Customers Pre-Sign Documents
- John Crumb Allegedly Engages In Unapproved Business Activities Away From His Member Firm
- John Cutshall Allegedly Converts Funds From Deceased Customers’ Trusts
- John Dobbertin Allegedly Misrepresents Material Facts
- John E. Burns Suspended By FINRA Following Allegations Of Unauthorized Trading
- John Eads Allegedly Recommends Unsuitable Variable Annuities
- John Egan Allegedly Recommends Unsuitable Investments
- John Ernst Allegedly Takes Part In Selling Private Securities Associated With A Massive Ponzi Scheme
- John Forrester Accused Of Negligence And Breach Of Contract
- John Forster Allegedly Transfers Funds Without Authorization
- John Galinsky Allegedly Omits Material Facts
- John Greg Schmidt Allegedly Converts Funds From Multiple Customers In Ponzi Like Scheme
- John Grillo Allegedly Invests Customers In An Unsuitable Mutual Fund
- John H. Russell Allegedly Makes Fraudulent And Negligent Misrepresentations
- John Hardin Alexander Allegedly Engages In Unauthorized Discretionary Trading
- John Hoagland Allegedly Engages In Unauthorized Trading
- John Hoidas Allegedly Recommends Unsuitable Investments
- John Howley Allegedly Recommends A Fraudulent Investment Known As Global Credit Recovery
- John J. Maloney Terminated From Edward Jones
- John Jaramillo Terminated From Western International Securities
- John Jumper Allegedly Embezzles $5.7 Million From A Company’s Pension Plan
- John Kellar Allegedly Makes Unsuitable Investment Recommendations
- John Kettmann Allegedly Engages In Unauthorized Trading
- John Krohn Allegedly Takes Part In Unapproved Business Activities Away From His Member Firm
- John Lisowski Allegedly Excessively Trades His Client’s Account
- John M. James Allegedly Makes Unsuitable Investment Recommendations
- John Maccoll Allegedly Misappropriates Funds From Numerous Customers Through A Fraudulent Investment
- John MacGowan Terminated From Raymond James
- John Moy Allegedly Makes Unsuitable Investment Recommendations
- John Neely Allegedly Exercises Discretion Without The Proper Authorization
- John Paul Mazza Allegedly Recommends Unsuitable Investments
- John Prinzivalli Allegedly Engages In Churning
- John Pronovost Allegedly Recommends Highly Unsuitable LJM Mutual Funds
- John R. Holland Allegedly Breaches His Fiduciary Duty
- John Reilly Allegedly Places A Customer In An Unsuitable Private Placement
- John Riccardi Allegedly Negligently Misrepresents Material Facts Regarding Investments
- John Robert Morris Allegedly Recommends High-Risk Energy Investments
- John Santariello Allegedly Churns His Customers’ Accounts
- John Saunders Allegedly Fails To Diversify
- John Scott Simpson Allegedly Recommends Unsuitable Investments To Multiple Customers
- John Spach Allegedly Recommends A Private Investment
- John Tao Allegedly Recommends Unsuitable Leveraged ETFs
- John Tillotson Allegedly Impersonates Customers Over The Phone
- John Timberlake Allegedly Recommends Unsuitable Investments
- John Torres Accused Of Aiding And Abetting Theft Of Funds
- John Troy Howard Allegedly Breaches His Fiduciary Duty
- John Valliades Allegedly Churns His Clients’ Accounts
- John Wade Allegedly Converts Over $100,000 From Multiple Elderly Customers
- John William Bernard Allegedly Engages In Discretionary Trading Without Proper Authorization
- John Wyshak Allegedly Engages In Churning
- Johnnie M. Jones Allegedly Makes Material Misrepresentations
- Johnny Guan Allegedly Recommends Unsuitable Investments
- Jon Lindberg Allegedly Loses Client’s Money Due To Incompetence
- Jon Reppert Allegedly Misrepresents A Life Insurance Policy
- Jon Schmidhamer Pleads Guilty To Unlawful Securities Practices
- Jon Sugick Allegedly Recommends Commodities Not Approved By His Member Firm
- Jonathan Ellefson Allegedly Makes Unsuitable Investment Recommendations
- Jonathan Freeze Allegedly Sells Private Investments Outside The Scope Of His Member Firm
- Jonathan Gold Allegedly Engages In Excessive Trading
- Jonathan Heise Allegedly Uses Privileged Information To Solicit Clients
- Jonathan Iraggi Allegedly Exercises Discretion Without The Proper Authorization
- Jonathan Lonske Allegedly Makes Unsuitable Investment Recommendations
- Jonathan Wiley Terminated From Voya Financial Advisors Following Allegations Of Engaging In Discretionary Trading Without The Proper Authorization
- Jorge Bravo Of Aegis Capital Corp Allegedly Misrepresents Investments in Puerto Rico Municipal Bonds
- Jose G. Ramirez Sentenced To Over A Year In Prison
- Jose Giraldo Terminated From Merrill Lynch
- Jose Paula Allegedly Engages In Unauthorized Trading
- Joseph Abbate Allegedly Engages In Discretionary Trading Without The Proper Authorization
- Joseph Ambrosole Allegedly Churns A Customer’s Account
- Joseph Andreoli Allegedly Recommends Unsuitable Securities
- Joseph Boskus Allegedly Misrepresents And Omits Material Facts
- Joseph Cotter Allegedly Excessively And Unsuitably Trades The Accounts Of An Elderly Customer
- Joseph Derrico Allegedly Excessively Trades A Customer’s Account
- Joseph Eschleman Allegedly Exercises Discretion in Customers’ Accounts Without Authorization
- Joseph Farah Allegedly Engages In Unapproved Outside Business Activities
- Joseph Krueger Terminated From Stifel, Nicolaus & Company
- Joseph Likens Allegedly Engages In Selling Away
- Joseph Michael Fedorko Allegedly Churns Customers’ Accounts
- Joseph Peggs Allegedly Executes Unauthorized Transactions
- Joseph Pratt Allegedly Recommends A Private Investment Of Which He Has A Financial Stake In
- Joseph Roop Allegedly Recommends Unsuitable Non-Traded REITs
- Joseph Stern Allegedly Misrepresents Associated Risks
- Joseph Teifer Allegedly Makes Inappropriate Investments
- Joseph Thurnherr Allegedly Churns His Clients’ Accounts
- Joseph Valdini Allegedly Breaches Contract
- Joseph Weinrich Accused Of Broker Negligence
- Joseph Yanofsky Discharged From Merrill Lynch Following Allegations Of Unauthorized Trading
- Joseph Zenker Allegedly Breaches His Fiduciary Duty
- Joshua Bradley Allegedly Executed Trades With A Firm He Was No Longer Associated With
- Joshua Stamm Allegedly Takes Part In Unauthorized Private Securities Transactions
- Joshua Stivers Allegedly Recommends Unsuitable Securities
- Jovannie Aquino Allegedly Recommends A Highly Unsuitable Short-Term Trading Strategy To Multiple Customers
- Juan Barreras Allegedly Misrepresents Investments
- Judith Johnston Allegedly Misrepresents Variable Annuities To Multiple Customers
- Juergen Weber Barred By FINRA Following Allegations Of Unauthorized Trading
- Julia Klammer Allegedly Misappropriates Customer Funds
- Julian Munoz Allegedly Issues Unsuitable Puerto Rico Bonds
- Julie Morowitz Allegedly Makes Material Misrepresentations
- Jun Zhou Recently Discharged From The Leaders Group For Alleged Unreported Outside Business Activities
- Justin Fletchall Allegedly Over-Concentrates A Customer’s Account In Unsuitable Puerto Rico Bonds
- Justin Mair Allegedly Converts Customer’s Funds To Pay His Electric Bill
- Justin Parker Allegedly Engages In Excessive Trading
- Justin Yoon Allegedly Recommends Unsuitable Municipal Bonds
- Kalos Capital’s John Moriarty Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Kalos Capital’s Michael Distler Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Kalos Capital’s Steve Perrmann Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Karen Paek Allegedly Submits Fictitious Annuity Applications
- Kari Bracy Allegedly Misrepresents A Private Investment
- Karl Foust Allegedly Misled Customers Into Purchasing Unsuitable Promissory Notes
- Katherine Nishnic Allegedly Makes Material Misrepresentations
- KBS Real Estate Investment Trust
- KBS REIT: Recover Your Losses
- Keith Kordich Allegedly Recommends Unsuitable Investments
- Keith Simmons Allegedly Recommends Unsuitable Investments
- Keith Wakefield Allegedly Executes Fraudulent Trades
- Kelly Althar Allegedly Over-Concentrated An Elderly Customer’s Account In Unsuitable Securities
- Kelly Barnett Allegedly Executes Unauthorized Trades
- Ken Balser Terminated From Cetera Advisors Following Allegations Of Engaging In Private Securities Transactions
- Kendall Groom Allegedly Misappropriates Customer Funds
- Kenneth Greer Jr. Allegedly Engages In Outside Business Activities Without Authorization
- Kenneth Guerra Allegedly Recommends Unsuitable Alternative Investments
- Kenneth Hutkin Allegedly Recommends Unsuitable Investments
- Kenneth Neuner Allegedly Exercises Discretion In A Non-Discretionary Account
- Kenneth Williams Allegedly Engages In Unauthorized Trading
- Kerry Hoffman Allegedly Recommends An Unregistered, Fraudulent Investment To Numerous Customers
- Kerry Wills Allegedly Violates Firm Policy Regarding Loan Solicitation
- Kevin Barbalace Allegedly Misrepresents Risks Associated With A High-Risk Private Placement
- Kevin Butler Receives Multiple Allegations Of Unsuitability
- Kevin Curry Allegedly Churns His Client’s Account
- Kevin Fretz Allegedly Forges A Customer’s Signature
- Kevin Graetz Allegedly Recommends Fraudulent Investments
- Kevin Gunnip Barred Following Allegations Of Excessive Trading
- Kevin Jedlicka Suspended By FINRA Following Allegations Of Instituting A Highly Unsuitable Short-Term Trading Strategy
- Kevin Meadows Suspended By FINRA Following Allegations Of Churning A Customer’s Account
- Kevin Nevin Allegedly Breaches His Fiduciary Duty
- Kevin Palmer Terminated From First Allied Securities
- Kevin R. Wilson Allegedly Recommends Unsuitable Securities
- Kevin Rainwater Allegedly Recommends Unsuitable Investments
- Kevin Scott Woolf Barred By FINRA Following Allegations Of Engaging In Undisclosed Outside Business Activities
- Kevin Wanner Sentenced To Over Eleven Years In Prison Due To Converting Customer Funds
- Kevin Yang Allegedly Exercises Discretion In Non-Discretionary Accounts
- Kimberly Kitts Allegedly Converts Customer Funds
- Kinan Nimeh Allegedly Recommends Unsuitable Leveraged ETFs
- Kirk Balin Allegedly Breaches His Fiduciary Duty While Selling An Investor Unsuitable Non-Traded REITs
- Kirk Bertsch Discharged From Farmers Financial Solutions
- Kristian M. Gaudet Allegedly Converts Customer Funds
- Kurt Jackson Allegedly Negligently Recommends Alternative Investments
- Kwimin Ahn Terminated From Pruco Securities Following Allegations Of Reusing Client Signatures
- Kyle Davis Allegedly Breaches His Fiduciary Duty
- Kyle Harrington Discharged From National Securities Corporation Following Allegations Of Converting Customer Funds
- Kyusun Kim Allegedly Inflates The Net Worth Of Elderly Investors
- Lance Armstrong Allegedly Solicits Loans From Member Firm Customers
- Lance Gilden Allegedly Forges Customer Signatures
- Lance Ziesemer Allegedly Institutes A Highly Unnecessary Short-Term UIT Trading Strategy
- Larry Boggs Allegedly Engages In Unsuitable Short-Term Trading
- Larry Cohen Allegedly Fails To Disclose Important Information
- Larry Crabtree Allegedly Provides Inaccurate Financial Information
- Larry Fawcett Allegedly Churns His Customers’ Accounts
- Larry Gregurash Allegedly Misrepresents The Features Of A Customer’s Variable Annuity
- Larry Lavoice Terminated From Morgan Stanley
- Larry Peggs Allegedly Executes Unauthorized Transactions
- Larry Templin Allegedly Commits Bank Fraud
- Larry Wolfe Accused Of Unauthorized Trading, Misrepresentation, And More
- Laura Hanson Allegedly Engages In Excessive Trading
- Laura Ortega Shean Barred by FINRA
- Laurence Greene Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Laurence Torres Allegedly Uses High Pressure Sales Techniques
- Lawrence Delhagen Allegedly Breaches His Fiduciary Duty
- Lawrence Fawcett Allegedly Churns His Customers’ Accounts
- Lawrence Hagedorn Terminated From The O.N. Equity Sales Company
- Lawrence Ira Goldstein Allegedly Recommends Unsuitable Investments
- Lawrence Murphy Allegedly Breaches His Fiduciary Duty
- Lee Donais Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Leon Almeida Allegedly Misrepresents Variable Annuities
- Leon Rehak Accused Of Excessive Trading, Churning, Fraud, And More
- Leon Vaccarelli Convicted On Charges Of Mail Fraud, Wire Fraud, And Money Laundering
- Leonard Kinsman Allegedly Makes Unsuitable Investment Recommendations
- Leonard Marzocco Suspended By FINRA For Unsuitable Trading
- Leonard McAbee Allegedly Engages In Unauthorized Trading
- Leslie Goldstein Allegedly Recommends Illiquid Investments
- Leslie Koonce Barred By FINRA For Allegedly Recommending Unapproved Promissory Notes
- Leslie Markus Jr. Allegedly Executes Numerous Unauthorized Transactions
- Lester Burroughs Allegedly Perpetrates Seven Year Long Ponzi Scheme
- Levert Caldwell Allegedly Recommends Unsuitable Securities
- Lewis Robinson Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Lindsey Riley Allegedly Charges Excessive Commissions
- Lisa Acca Allegedly Recommends Unapproved Private Securities
- Lisa Lowi Allegedly Recommends High-Risk “Junk” Bonds To Numerous Customers
- Lloyd Layton Allegedly Engages In A Pattern Of Unsuitable Short-Term Trading
- Logan Phillips Allegedly Makes Unsuitable Investment Recommendations
- Lorene Fairbanks Allegedly Misrepresents Options Trading Risks
- Lorenzo Esteva Allegedly Provides His Customers With Inaccurate Account Information
- Louis Kittlaus Allegedly Recommends Unsuitable Private Placements
- Louis Mark Miller Allegedly Exercises Discretion Without Proper Authorization
- Louis Telerico Allegedly Makes Material Misrepresentations And Omissions
- LPL Financial FINRA Arbitration: Unsuitable Investments by Pamela Sue Espinoza
- LPL Financial Sanctioned Due To Alleged Unsuitable Non-Traded REIT And Leveraged ETF Sales
- Luigi Mancusi Allegedly Misrepresents A Life Insurance Policy
- Luke M. Johnson Allegedly Recommends Unsuitable Alternative Investments
- Lynn Faust Allegedly Makes Material Misrepresentations
- Madison County Seeks To Recover Investment Losses
- Malcolm Reader Allegedly Misrepresents Puerto Rico and Virgin Island Bonds
- Mamode Oozeerally Allegedly Churns His Client’s Account
- Manish Shah Allegedly Solicits A Loan From A Customer Under False Pretenses
- Manuel Angel Mejia Gomez Allegedly Recommends Unsuitable Puerto Rico Investments
- Marc Allen Miller Allegedly Manages A Customer’s Account With Gross Negligence
- Marc Francis Rogers Allegedly Makes Material Misrepresentations About Investments
- Marc Korsch Allegedly Concentrates Accounts In Unsuitable Investments
- Marc Korsch Allegedly Recommends Highly Unsuitable Annuity Switches
- Marc Linsky Allegedly Violates The Pennsylvania Securities Act
- Marco Azizi Allegedly Recommends Illiquid And Risky Investments
- Marcus Boggs Allegedly Misappropriates Customer Funds To Pay His Personal Credit Card Bill
- Marcus D. Parker Terminated From Wells Fargo Clearing Services Following Allegations Of Misappropriating Customer Funds
- Margareta Childs Allegedly Breaches Loan Agreements
- Maria Hendershott Allegedly Makes Material Misrepresentations And Omissions Of Fact
- Maria Tamburro Barred By FINRA
- Marilyn Zehntner Allegedly Breaches Her Fiduciary Duty
- Mariondy Fernandez Allegedly Recommends Highly Unsuitable Puerto Rico Municipal Bonds And Closed-End Funds To Numerous Customers
- Mark Augusta Accused Of Financial Elder Abuse
- Mark Barrand Allegedly Recommends An Unsuitable MLP And Non-Traded REIT
- Mark Charles Cohen Barred By FINRA Following Alleged Fund Conversion
- Mark Christopher Perry Allegedly Misappropriates Funds
- Mark Ciriaco Allegedly Converts The Funds Of A Non-Profit
- Mark Cline Allegedly Invests Numerous Customers In Securities They Are Not Financially Suited For
- Mark Cramer Allegedly Forges Variable Annuity Documents
- Mark David Kemp Allegedly Fails To Disclose Annuity Fees
- Mark Degner Allegedly Makes Material Misstatements To Multiple Elderly Customers Concerning CDs
- Mark Flanagan Allegedly Engages In An Unauthorized And Inappropriate Use Of Margin
- Mark Hopkins Allegedly Converts Customer Funds Under The Guise Of An Outside Investment
- Mark Jensen Allegedly Breaches His Fiduciary Duty
- Mark Kaplan Allegedly Churns The Account Of An Elderly Customer With Dementia
- Mark Katz Allegedly Misrepresents Tax Consequences Associated With Liquidating Concentrated Equity Position
- Mark Ketner Allegedly Engages In A Pattern Of Unsuitable And Excessive UIT Trading
- Mark Kolta Allegedly Breaches His Fiduciary Duty
- Mark Kregor Allegedly Recommends Unsuitable Investments To Multiple Customers
- Mark Lamendola Barred By FINRA
- Mark Lamkin Discharged From LPL Financial
- Mark Plummer Allegedly Misappropriates Almost $400,000 Of Investor Funds
- Mark Reinking Accused Of Both Fraudulent And Negligent Behavior
- Mark Sachse Allegedly Provides Fraudulent Statements
- Mark Saunders Discharged From Edward Jones Following Allegations Of Unauthorized Discretionary Trading
- Mark Schklar Allegedly Breaches His Fiduciary Duty
- Mark Senofonte Allegedly Converts Customer Funds
- Mark Sitter Allegedly Makes Material Misrepresentations About Investments
- Mark Trewitt Allegedly Recommends Unsuitable Alternative Investments To Multiple Customers
- Mark Tudor Terminated From Raymond James Following Allegations Of Selling Away
- Mark Wetherell Terminated From Kovack Securities
- Marlon Cole Allegedly Engages In An Unsuitable Pattern Of Excessive Trading
- Marlyn McClain Allegedly Recommends Unsuitable Securities To An Elderly Customer
- Marsha Lee Allegedly Makes Unsuitable Investment Recommendations
- Marshall Isaacson Allegedly Breached His Fiduciary Duty
- Martin Batstone Allegedly Converts Customer Funds
- Martin Brooks Allegedly Recommends Unsuitable Securities
- Martin McLaughlin Allegedly Recommends High-Risk Equities
- Mason Gann Allegedly Engages In Churning
- Masood Azad Allegedly Engages In Unapproved Private Securities Transactions
- Matt Neas Allegedly Charges Excessive Commissions
- Matthew Alan Morris Allegedly Cuts And Pastes Clients’ Signatures To Authorize Purchases Of Annuities
- Matthew Albers Allegedly Exercises Discretion Without Proper Authorization
- Matthew Buchsbaum Allegedly Implements The Highly Unsuitable Yield Enhancement Strategy
- Matthew Christopher Maczko Allegedly Churns Customer Accounts
- Matthew Crafa Accused Of Negligence
- Matthew Eckstein Allegedly Invests Multiple Individuals Into A Fraudulent Investment Scheme
- Matthew Gerst Allegedly Over-Concentrates A Customer’s Portfolio With Unsuitable Investments
- Matthew Giannone Allegedly Churned His Customers’ Accounts
- Matthew Grabbe Allegedly Exercises Discretion Without Proper Authorization
- Matthew Kerby Allegedly Converts Customer Funds
- Matthew Paolucci Allegedly Recommends Unsuitable Investments
- Matthew Peregoy Allegedly Engaged In Unethical Business Practices
- Matthew Rollins Allegedly Takes Part In Unauthorized Trading
- Matthew Siliato Allegedly Recommends Unsuitable Investments
- Matthew Singer Allegedly Misrepresents Options Trading
- Matthew Werthe Allegedly Engages In Unauthorized Trading And Churning
- Matthew Yonally Allegedly Makes Material Misrepresentations And Omissions
- Meaghan Marie Johnson Allegedly Forges The Signatures Of Numerous Customers
- Megurditch “Mike” Patatian Allegedly Recommends Unsuitable Variable Annuities
- Mel Hertz Allegedly Makes Unsuitable Recommendations
- Melanie Haning Terminated From UBS Financial Services
- Melvin Case Pleads Guilty To Felony Charges Of ‘Exploitation Of Aged Adult’
- Mercer Hicks Allegedly Recommends Highly Speculative Non-Traded REITs and BDCs To Elderly Customers
- Merid Amde Allegedly Engages In Unauthorized Trading
- Mewbourne Energy Partners
- Michael Androulakis Allegedly Recommends Unsuitable Leveraged ETFs
- Michael Arteca Allegedly Misrepresents Details Of Non-Traded REITs
- Michael B. Barnett Allegedly Invests Multiple Customers In The Unsuitable Breitburn Energy
- Michael Babyak Allegedly Engages In Unapproved Private Securities Transactions
- Michael Barry Carter Allegedly Misappropriates Customer Funds
- Michael Bastardi Allegedly Engages In Unsuitable Margin Trading
- Michael Blueweiss Allegedly Steals Customers’ Funds
- Michael Botwinick Allegedly Recommends Unsuitable And Illiquid Investments
- Michael Bressman Facing Pending Criminal Charges Of Securities Fraud For Alleged “Cherry Picking” Scheme
- Michael Burkoff Allegedly Makes Unsuitable Recommendations
- Michael Carter Allegedly Misappropriates Customer Funds
- Michael Castillero Allegedly Engages In Churning And Unauthorized Trading
- Michael Clarke Allegedly Converts Almost $600,000 In A Fraudulent Investment Scheme
- Michael Collins Allegedly Solicits Funds For An Unapproved Private Investment
- Michael Cowan Allegedly Makes Unsuitable Investment Recommendations
- Michael D. Lucas Allegedly Misleads A Customer To Sign Annuity Documents
- Michael De Pol Allegedly Recommends Unsuitable REIT Investments
- Michael Dennis Jackson Terminated Following Allegations Of Unauthorized Discretionary Trading
- Michael Depasquale Allegedly Makes Material Misrepresentations About Insurance Policies
- Michael Dolan Allegedly Engages In Selling Away
- Michael Fasciglione Of Aegis Capital Corp Becomes The Subject Of Multiple Suitability Complaints
- Michael Flynn Allegedly Handles His Customers’ Account Negligently
- Michael Freeman Allegedly Churns The Account Of An Elderly Customer
- Michael G. Solomon Allegedly Engages In Unsuitable And Excessive Trading
- Michael Giokas Allegedly Breaches His Fiduciary Duty
- Michael Greenfield Allegedly Breaches Contract
- Michael Greenstone Allegedly Places A Customer In Unsuitable Investments
- Michael Guilfoyle Allegedly Churns Multiple Clients’ Accounts
- Michael Hanke Allegedly Exercises Discretion In A Non-Discretionary Account
- Michael Hood Allegedly Recommends Unsuitable Investments
- Michael Hurtgen Allegedly Solicits Member Firm Customers To Invest In Unapproved Private Placements
- Michael Joseph Dellaporta Jr. Allegedly Churns Customer Accounts
- Michael Kahn Allegedly Fails To Follow Customer Instructions
- Michael Kamperman Allegedly Recommends Speculative Energy Sector Securities
- Michael Keane Allegedly Invests Multiple Customers In Unsuitable Energy Stocks
- Michael Kemp Allegedly Engages In Unauthorized Trading
- Michael Lyle Allegedly Recommends Unsuitable Products
- Michael Mackay Allegedly Refers Customers To An Unapproved Outside Security
- Michael Mathias Allegedly Makes Unsuitable Investment Recommendations
- Michael McGregor Allegedly Recommends Unsuitable Investments
- Michael Monatlik Allegedly Recommends Unsuitable Investments
- Michael Nanto Allegedly Converts Customer Funds
- Michael Norman Allegedly Misrepresents The Rate Of Return Of A Mutual Fund
- Michael Ollmann Allegedly Engages In Churning
- Michael Oppenheim Allegedly Embezzles Customer Funds
- Michael Oromaner Suspended For Two Years Due To Alleged Unapproved Discretionary Trading
- Michael Paesano Allegedly Excessively Trades His Customers’ Accounts
- Michael Patrick Nixon Allegedly Breaches His Fiduciary Duty
- Michael Pepe Allegedly Executes Unauthorized Trades
- Michael Ralby Allegedly Recommends Unsuitable Investments
- Michael Rappa Allegedly Recommends Customers Purchase Unsuitable Promissory Notes
- Michael Resciniti Allegedly Churns His Clients’ Accounts
- Michael Rosalia Allegedly Engages In Unsuitable Margin Trading
- Michael Scott Nixon Allegedly Pressures A Customer To Purchase An Unsuitable Equity-Indexed Annuity
- Michael Siegel Allegedly Churns His Clients’ Accounts
- Michael Sims Allegedly Recommends Inappropriate Investments
- Michael Speer Allegedly Fails To Explain The Illiquidity Of Non-Traded REITs
- Michael Spolar Suspended By FINRA After Allegedly Exercising Discretion Without The Proper Authorization
- Michael Standley Allegedly Exercises Discretion In Non-Discretionary Accounts
- Michael Swingle Allegedly Solicits $118,500 In Loans From Customers To Pay Off Gambling Debts
- Michael Tantleff Allegedly Provides A Customer With Inaccurate Information Regarding His Investments
- Michael Todd Hogan Allegedly Misrepresents Products
- Michael Venturino Allegedly Engages In Unauthorized Trading
- Michael Vetere Allegedly Churns Client Accounts
- Michel Lavelanet Allegedly Churns A Customer’s Account
- Mickey Long Allegedly Recommends Unsuitable Securities
- Mickey Schreiber Allegedly Recommends Unsuitable Investments
- Mid Atlantic Capital Allowed Brokers To Create And Sell An Illiquid, Speculative Private Placement Known As Jadda
- Minish Joe Hede Allegedly Recommends Fraudulent Private Placements
- Mitchell Kurtz Allegedly Engages In Unauthorized Outside Business Activities
- Mitchell Rock Allegedly Recommends Unsuitable Securities
- Mitchell Yanow Barred by FINRA and Terminated From Stifel, Nicolaus & Company for Alleged Fund Conversion
- Mohamed Debbagh Allegedly Misrepresents And Omits Material Facts
- Mohamed Yassin Allegedly Engages In Excessive Trading
- Moloney Securities’ Edward Balmes Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Money Concepts’ Ray Reese Allegedly Recommends GPB Capital Holdings Amid “Ponzi Scheme” Allegations
- Morey Goldberg Allegedly Takes Part In Unauthorized Business Activities Away From His Member Firm
- Morgan Arford Allegedly Recommends Highly Unsuitable Oil And Gas Investments
- Mortgage Bonds as Short-Term Investments
- Multiple Customers Accuse Austin Dutton Of Negligence
- Multiple Customers Accuse Carlos Seda Of Fraud
- Multiple Customers Accuse Kevin Canfield Of Fraud
- Multiple Customers Accuse Richard Cody Of Fraudulent Behavior
- Multiple Customers Accuse Scott Donato Of Recommending Unsuitable Investments
- Multiple Customers Accuse Walter Stallones Of Fraud
- Multiple Customers Acuse Larry Freie Of Making Material Misrepresentations
- Multiple Customers Allege That William Hobby Purchased Highly Unsuitable Investments On Their Behalf
- Multiple Investors Accuse David Barber Of Unauthorized Trading
- Multiple Investors Accuse Mark E. Jones Of Misrepresentation
- Murray Roark Allegedly Over-Concentrates Customer Accounts
- Nancy Glassman Allegedly Recommends Unsuitable Products
- Nancy Mellon Allegedly Over-Concentrates A Customer’s Portfolio In Unsuitable Energy Sector Securities
- Naomi Johnson Allegedly Breaches Her Fiduciary Duty
- Narinder Singh Allegedly Solicits Investors To Invest In His Own Unsuitable Company
- Nathaniel Royce Clay Allegedly Makes Material Misrepresentations
- Naveed Khan Pleads Guilty To One Count Of Securities Fraud
- Neal Scott Allegedly Breaches His Fiduciary Duty
- Neil Fineman Barred By FINRA Following Allegations Of Engaging In Unapproved Private Securities Transactions
- Net Asset Value Calculation: Priority Income Fund
- Nicholas Schiano Allegedly Breaches His Fiduciary Duty
- Nicholas Shermeta Accused Of Negligence And Fraud
- Nicholas Toadvine Allegedly Makes Numerous Unsuitable Investment Recommendations
- Nick Son Allegedly Makes Unauthorized Trades In His Customer’s Account
- Nicolas Barrios Discharged From UBS Financial Services
- Nina Jessee Allegedly Recommends Unsuitable Securities
- Noel Vincent Allegedly Recommends Highly Unsuitable, Illiquid, and Speculative Alternative Investments
- Nolan Dudley Baird Jr. Allegedly Engages In Discretionary Trading Without Proper Authorization
- Non-Traded REIT Carter Validus’ Prices Fall In Secondary Market
- Non-Traded REIT Inland Real Estate’s Prices Fall In Secondary Market
- Non-Traded REIT Mackenzie Realty’s Prices Fall In Secondary Market
- NorthStar Healthcare Income REIT: Unsuitable Investments
- Oakes & Fosher Attorneys Secure $2.6 Million in Damages For Elderly Investor
- Oakes & Fosher Convinces FINRA Arbitrators To Order Trustmont Financial To Pay Client $1 Million In Damages
- Oakes & Fosher Wins Million Dollar Marc Korsch Case
- Oakes and Fosher Brings New Arbitration Cases Against United Development Funding III And IV
- Oakes And Fosher Sues New England Securities For Alleged Failure To Supervise
- Oft-Sanctioned Ex-Broker Kathleen Tarr Loses Expungement Request
- Olori Hamilton Accused Of Converting Customer Funds
- Omar Henry Allegedly Makes Unsuitable Investment Recommendations
- Omer Ozeren Allegedly Exercises Discretion In Non-Discretionary Accounts
- Oppenheimer Ordered to Pay Investor $1.2 Million in Case
- Oscar Francis Allegedly Uses A Fictitious Security To Convert Customer Funds
- Partho Ghosh Allegedly Engages In Unapproved Outside Business Activities
- Past & Present Cases Involving George Merhoff ($3.5M+ in Settlements)
- Patricia Loris Allegedly Fails To Prevent Further Loss
- Patricia Peterson Terminated From Williams Financial Group
- Patrick Dever Allegedly Purchases Unsuitable Securities
- Patrick Foley Allegedly Misleads A Customer About Required Premiums
- Patrick Jermaine Phillips Allegedly Accepts $70,000 In Loans From A Customer
- Patrick Rynn Allegedly Engages In Financial Elder Abuse
- Patti Barnes Allegedly Recommends An Unsuitable Annuity Switch
- Paul Alexander Jr. Allegedly Engages In Excessive And Unauthorized Trading
- Paul Blum Allegedly Recommends High-Risk Energy Sector Corporate Bonds To Numerous Customers
- Paul Bonaccini Allegedly Engages In Unauthorized Trading
- Paul Bustamante Terminated From Empire Asset Management Company
- Paul Cowler Allegedly Fails To Follow His Customer’s Instructions
- Paul Curnes Allegedly Violates Securities Laws
- Paul Falcon Allegedly Breaches His Fiduciary Duty
- Paul Gordon Allegedly Recommends Unsuitable Municipal Bonds
- Paul Lascelle Allegedly Trades An Investor’s Account Excessively
- Paul Lebel Allegedly Churns His Customers’ Account
- Paul Mante Allegedly Misrepresents Details Regarding Puerto Rico Bonds
- Paul Mauro Sanctioned By The Massachusetts Securities Division
- Paul Murans Allegedly Makes Unsuitable Investment Recommendations To Multiple Customers
- Paul Notermann Allegedly Misrepresents Managed Account Fees
- Paul Pitsironis Allegedly Converts His Customer’s Funds
- Paul Porter Allegedly Engages In Unauthorized Trading
- Paul Soll Allegedly Breaches Contract
- Paul Taboada Barred By FINRA Following Alleged Fund Misappropriation
- Paul W. Smith Allegedly Defrauds Numerous Investors Over A Twenty-Five Year Long Ponzi Scheme
- Paul Zoch’s Alleged Actions Lead To Clients’ Funds Being Embezzled
- Pavel Kreychman Allegedly Makes Material Misrepresentations Regarding Variable Annuities
- Pavel Shklyar Barred By FINRA
- Perry De Leeuw Allegedly Solicits Funds To Invest In An Undisclosed, Private Security Known As Waterbos
- Perry Gallagher Allegedly Makes Material Misrepresentations
- Perry Stalvey Terminated From State Farm VP Management Corp.
- Peter Bakalis Allegedly Forges Customer Signatures
- Peter Cunningham Allegedly Engages In Short Term UIT Switching
- Peter Goffin Allegedly Breaches His Fiduciary Duty
- Peter Holler Allegedly Recommends Securities Connected To The Fraudulent Woodbridge Group Of Companies
- Peter Huffman Allegedly Churns His Customer’s Account
- Peter Klaass Resigns From Cetera Advisor Networks
- Peter Kohli Allegedly Misappropriates Customer Funds
- Peter Malis Allegedly Engages In Excessive, Unsuitable, And Unauthorized Trading
- Peter Maller Allegedly Recommends Illiquid Annuities And Private Investments
- Peter Monson Allegedly Trades A Customer’s IRA Account Unsuitably
- Peter Ruggiere Allegedly Excessively Trades A Customer’s Account
- Peter Steege Allegedly Misrepresents Material Facts
- Peter Torabkhan Allegedly Exercises Discretion In Non-Discretionary Accounts
- Peter Viglione Allegedly Engages In Excessive Trading
- Peter Voldness Allegedly Contributes To A Customer’s Account Becoming Over-Concentrated
- Peyton Jackson Allegedly Engages In Unauthorized Trading
- Philip Moshier Allegedly Recommends A Risky And Illiquid Investment Plan
- Philip Rosensweig Allegedly Breaches Contract
- Philip Sheridan Terminated From Ameriprise Financial
- Philip Sparacino Allegedly Churns His Client’s Account
- Phillip A. Noto II and Barry T. Eisenberg Censured by the Securities and Exchange Commission
- Phillip Andrew Johnson Allegedly Recommends A Customer Liquidate A Variable Annuity To Invest In Real Estate
- Phillip Schreiner Discharged From Morgan Stanley
- Phillips Edison & Company
- Pratul Agnihotri Allegedly Engages In Selling Away
- Presidio Property Trust
- Price Breville Allegedly Churns His Client’s Account
- R. Barry Jones Allegedly Exercises Discretion In Non-Discretionary Accounts
- Rafael Golan Allegedly Recommended Unsuitable Investments
- Ralph Byer Allegedly Trades His Customers’ Account Excessively
- Ralph Derose Allegedly Fails To Follow Customers’ Instructions
- Ralph Jackson Allegedly Recommends Unsuitable High Yield Corporate Bonds
- Ralph Savoie Allegedly Defrauds Multiple Customers
- Ramon Almonte Receives Over 200 Customer Complaints Regarding Puerto Rico Municipal Bonds And Closed-End Funds
- Ramon Herrera Allegedly Withdraws Customer Funds Without Permission
- Rand Heckler Allegedly Misappropriates Customer Funds
- Randolph Eddlemon Allegedly Recommends Highly Unsuitable Annuity Exchanges
- Randolph McNeill Allegedly Churns Multiple Clients’ Accounts
- Randy Carpen Allegedly Engages In Excessive Trading
- Raymond Benjamin Allegedly Recommends Customers Liquidate Mutual Funds To Purchase Unsuitable Annuities
- Raymond Hopper Allegedly Makes Negligent Misrepresentations About Energy Bonds
- Raymond Menna Allegedly Engages In Unauthorized Trading
- Raymond Pirrello Allegedly Executes Trades Without Authorization
- Regina Onkst Allegedly Breaches A Contract With A Customer
- Rene Javier Castro & The Sale of GWG Bonds
- Reynold Frank Vaughan III Allegedly Breaches Contract
- Ricardo Estrada Allegedly Engages In An Unapproved Outside Business Activity
- Ricardo Turlan Allegedly Engages In An Unauthorized Use Of Discretion
- Richard Bernstein Allegedly Makes Unauthorized Trades
- Richard Braverman Allegedly Recommends Unsuitable Direct Participation Programs
- Richard Cagle Allegedly Recommends Unsuitable Investments
- Richard Charles Foster Allegedly Makes A Highly Unsuitable Investment Recommendation
- Richard Coleman Allegedly Engages In The Excessive Trading Of Multiple Investor Accounts
- Richard DeYoung Allegedly Makes Unsuitable Investment Recommendations
- Richard Frith Allegedly Engages In Deceptive Business Practices
- Richard Gomez Allegedly Defrauds Investors Out Of Almost Half A Million Dollars
- Richard Hartnett Allegedly Churns Multiple Clients’ Accounts
- Richard Heuberger Allegedly Makes Material Misrepresentations About Tenancy In Common Investments
- Richard Hughes Allegedly Recommends Unsuitable Short Term Trades Of Long Term Products
- Richard Minichino Discharged From Next Financial Group
- Richard Pittman Allegedly Made Unsuitable Investment Recommendations To Multiple Customers In 2008
- Richard Seefried Allegedly Recommends Unsuitable Convertible Notes
- Richard Wesselt Allegedly Recommends Unsuitable Annuities And Insurance Products
- Richard Yada Allegedly Exercises Discretion In Non-Discretionary Accounts
- Rick Davidson Allegedly Recommends Investments His Customers Were Unsuited For
- Rick Konecny Allegedly Over-Concentrates Customer Accounts In Unsuitable Investments
- Ricky Higgins Allegedly Submits Forms That Had Been Pre-Signed By Clients
- Ricky Mantei Allegedly Recommends Unsuitable Securities
- Ricky Moore Suspended By FINRA
- Robert Abramowitz Allegedly Inflates A Customer’s Investment Objectives And Risk Tolerance
- Robert Allan Mann Allegedly Engages In Unsuitable Investment Practices
- Robert Batchen Allegedly Purchases Unsuitable Non-Traditional ETFs On Behalf Of A Customer
- Robert Berg Allegedly Recommends Speculative Investments
- Robert Berry Allegedly Engages In Discretionary Trading Without Proper Authorization
- Robert Brinckerhoff Allegedly Recommends An Unsuitable Structured Product
- Robert Buffington Allegedly Executes Unauthorized Trades
- Robert Cavanagh Allegedly Breaches His Fiduciary Duty
- Robert Charles High Allegedly Misappropriates Customer Funds
- Robert Clarke Allegedly Makes Material Misrepresentations
- Robert Clayson Allegedly Excessively Trades Customer Accounts
- Robert Cleary Allegedly Breaches Contract
- Robert D’Andria Allegedly Recommends An Unsuitable ETP Holding Pattern
- Robert DAgosta Allegedly Makes Material Misrepresentations About Investments
- Robert Delguercio Allegedly Executes Unauthorized Transactions
- Robert Disman Allegedly Omits Material Facts Regarding Investments
- Robert Edward Burns Allegedly Recommends Unsuitable Alternative Investments
- Robert Escobio Allegedly Defrauds Customers
- Robert Fehrman Allegedly Recommends Highly Unsuitable Alternative Investments To His Elderly Customers
- Robert Flanagan Allegedly Fails To Disclose Material Facts
- Robert Franden Allegedly Engages In Excessive Trading
- Robert Genito Allegedly Engages In Private Business Activities
- Robert Gianchiglia Allegedly Makes Material Misrepresentations About A Private Placement
- Robert Ginsberg Allegedly Recommends Highly Unsuitable Non-Traded REITs
- Robert Hart Allegedly Recommends Unsuitable Investment
- Robert Hayes Hoffmann Barred By FINRA
- Robert Kahn Allegedly Engages In Excessive Trading
- Robert Kostigen Allegedly Recommends Unsuitable Variable Annuities
- Robert Krieger Allegedly Engages In Outside Business Activities
- Robert Lappin Allegedly Recommends An Unsuitable UIT Trading Strategy
- Robert Leis Allegedly Exercises Discretion Without The Proper Authorization
- Robert Merlo Facing Criminal Charges Of Wire Fraud And Aggravated Identity Theft
- Robert Meyers Allegedly Recommends Private Equity Funds
- Robert Montes Allegedly Engages In Financial Elder Abuse
- Robert Murray Allegedly Churns Customer Accounts
- Robert Newman Allegedly Exercises Discretion Without The Proper Authorization
- Robert Regan Allegedly Recommends Unsuitable Private Placements
- Robert Salles Allegedly Engages In Misrepresentation
- Robert Scott Smith Allegedly Recommends Unsuitable Private Placements
- Robert Snow Allegedly Recommends Unsuitable Investments
- Robert Spiegel Allegedly Churns His Customers’ Accounts
- Robert Stefanelli Allegedly Churns His Client’s Account
- Robert Tansey Allegedly Recommends Highly Unsuitable Municipal Bonds
- Robert Todd Clark Barred By FINRA Following Allegations Of Converting Customer Funds
- Robert Torcivia Allegedly Violates His Firm’s Policies Regarding Beneficiary Appointments
- Robert Tricarico Allegedly Converted Over $1.2 Million For His Own Personal Use
- Robert Tweed Allegedly Negligently And Fraudulently Misleads Investors About The “Athenian Fund”
- Robert Wamhoff Allegedly Breaches His Fiduciary Duty
- Robert Weissbein Allegedly Recommends Unsuitable Investments
- Robert Wilder Allegedly Engages In Unauthorized Private Securities Transactions
- Robert Witt Allegedly Fails To Adequately Diversify His Clients’ Portfolios
- Robert Wyla Melberth Of Aegis Capital Corp Allegedly Breaches Fiduciary Duty
- Robert Yasnis Allegedly Churns A Customer’s Account
- Roberto Montano Allegedly Misrepresents The Details Of A Variable Annuity
- Rodger Burskey Allegedly Engages In Excessive And Unauthorized DiscretionaryTrading
- Rodney Potratz Allegedly Recommends Unsuitable Alternative Investments
- Roger Deal Allegedly Makes Material Misrepresentations Regarding Investments
- Roger Denha Allegedly Perpetrates A Fraudulent “Cherry-Picking” Scheme
- Roger Klinger Allegedly Engages In Unauthorized Trading
- Roger Kroeger Allegedly Misappropriates Cash Funds
- Roger Owens Allegedly Executes Unapproved Private Securities Transactions
- Roger Price Allegedly Engages In Round Trip Trading
- Roger Zullo Barred By The State Of Massachusetts Following Allegations Of Selling Highly Unsuitable Variable Annuities
- Ron Jason Ison Barred By FINRA
- Ron Willoughby Allegedly Recommends A Highly Unsuitable UIT Trading Strategy
- Ronald Bucher Allegedly Executes Unauthorized Trades
- Ronald Cameron Allegedly Fails To Conduct The Necessary Due Diligence
- Ronald Cole Allegedly Converts Customer Funds For His Own Personal Use
- Ronald Knight Allegedly Borrows Money From Clients That He Does Not Pay Back
- Ronald Lee Smith Allegedly Fails To Monitor Investments
- Ronald Roach Allegedly Perpetrates A Massive Ponzi Scheme
- Ronald Rothchild Allegedly Misstates A Customer’s Investment Objectives And Risk Tolerance On New Account Paperwork
- Roy Gaytan Terminated From Transamerica Financial Advisors
- Royal Alliance to pay $1.4 million over nontraded REIT, VA Sales
- Ruben Frezzotti Allegedly Recommends Unsuitable Investments
- Rushdi Zalatimo Allegedly Engages In Unauthorized Trading
- Rushton Ardrey Allegedly Engages In Unauthorized And Excessive Trading
- Russell Blum Allegedly Recommends An Unsuitable Holding Strategy
- Russell Green Allegedly Recommends Unsuitable Investments
- Ryan Botner Allegedly Forges A Customer’s Signature
- Ryan Murnane Allegedly Places Customers In Unsuitable Investments
- Ryan Paugh Allegedly Recommends Unregistered Securities To Multiple Customers
- Ryan Tarjanyi Allegedly Recommends Unsuitable Annuities
- Ryan Wold Terminated From Raymond James Following Churning Allegations
- Sam Aziz Allegedly Churns Customer Accounts
- Sam Pieh Allegedly Engages In Excessive Trading
- Sam Rine Allegedly Recommends Unsuitable Investments
- Samuel Haddix Allegedly Breaches His Fiduciary Duty
- Samuel Monchik Allegedly Recommends Unsuitable REITs
- Sandeep Varma Allegedly Makes Highly Unsuitable Recommendations
- Sanders Spangler Allegedly Executes Trades Without Authorization
- Sara Aiping Ng Allegedly Makes Unsuitable Investment Recommendations
- Satya Shaw Allegedly Engages In Pattern Of Unsuitable Trading
- Scott Andersen Allegedly Converts Customer Funds
- Scott Curtis Allegedly Misrepresents And Omits Material Facts
- Scott Ente Allegedly Breaches His Fiduciary Duty
- Scott Fairchild Allegedly Recommends Unsuitable Alternative Investments
- Scott Goldman Allegedly Makes Unsuitable Investment Recommendations To An Elderly Customer
- Scott Kaup Allegedly Makes Unsuitable Investment Recommendations
- Scott Kozak Sanctioned By FINRA For Allegedly Soliciting Private Investments
- Scott Mass Allegedly Recommends Unsuitable Puerto Rico Bonds
- Scott Miozzi Allegedly Misrepresents The Liquidity Of A Fixed Income Annuity
- Scott Ozer Allegedly Recommends Unsuitable Investments
- Scott Palmer Allegedly Makes Numerous Unsuitable Investment Recommendations
- Scott Riley Allegedly Executes Unauthorized Trades
- Scott Rosenberg Allegedly Recommends The Unsuitable Yield Enhancement Strategy
- Scott Stacke Allegedly Recommends Unsuitable Investments
- Scott Wallach Allegedly Misrepresents Commissions
- Sean Brady Terminated From First Allied Securities Following Allegations Of Forgery
- Sean Kelly Allegedly Converts Customer Funds To Fund His Lavish Lifestyle
- Sean Lanci Allegedly Breaches His Fiduciary Duty
- Sean Logue Allegedly Makes Unsuitable Investment Recommendations
- Sean Parikh Allegedly Churns His Client’s Account
- Sean Waters Barred From The Securities Industry Following Allegations Of Churning
- Sebastian Jimenez Allegedly Conceals Source Of Customer Deposits
- Sebastian Wyczawski Allegedly Engages In Common Law Fraud
- SEC Warns Investors About Coronavirus-Related Scams
- Sergio Rovner Allegedly Makes Unsuitable Investment Recommendations
- Seth Nannini Allegedly Engages In Unapproved Private Securities Transactions
- Seth Stewart Allegedly Recommends Illiquid Investments
- Shane Appelbaum Allegedly Recommends Unsuitable Investments To Elderly Investors
- Shane Kelly Terminated From LPL Financial Following Allegations Of Unsuitable And Excessive Unit Investment Trust Trading
- Shannon Lewis Allegedly Executes Over $1 Million In Outside Securities Transactions
- Sharon Daggett Allegedly Misrepresents Puerto Rico Bonds As Insured
- Shawn Burns Allegedly Churns Customer Accounts
- Shawn Davis Allegedly Recommends Unsuitable Non-Traded REITs
- Shelley Eddy Allegedly Fails To Diversify Customer Portfolios
- Shimshon Plotkin Allegedly Recommends Unsuitable Non-Traded REITs
- Shlomo Strugano Allegedly Engages In Forgery
- Sidney Dufresne Allegedly Recommends Unapproved Fixed Indexed Annuities
- Sierra Crocker Arrested For Alleged Organized Fraud
- Sigma Financial Broker Joel Lagore Allegedly Mismanages His Customers’ Account
- Simon Joseph Allegedly Engages In Unauthorized Trading
- Somning Pheth Discharged From Wells Fargo Clearing Services
- Sonya Camarco Allegedly Misappropriates Funds From Numerous Customers
- Stacee Malcolm Allegedly Misrepresents Rate Of Return For Annuities
- Stacy Cheney-Jamison Barred By FINRA
- Stan Leavitt Allegedly Recommends An Unsuitable Call Option
- Stanley Niekras Allegedly Recommends Unsuitable Annuities
- Starwood REIT Limits Withdrawals, Joining Northstar, Inland, KBS, the Parking REIT and others
- Stefan Pastor Allegedly Executes Unauthorized Trades
- Stephen Carver Allegedly Engages In Financial Elder Abuse
- Stephen Courtney Accused Of Negligent Misrepresentation
- Stephen Hamilton Allegedly Fails To Follow Customer Instructions
- Stephen Hollingsworth Allegedly Recommends Unsuitable Investments
- Stephen Holt Allegedly Fails To Conduct Adequate Due Diligence
- Stephen Hoshimi Terminated From Crescent Securities For Allegedly Engaging In Unapproved Outside Business Activities
- Stephen Kelbick Terminated From Wells Fargo Following Unauthorized Trading Allegations
- Stephen Klinger Terminated From Wells Fargo Clearing Services
- Stephen Kowalski Allegedly Makes Unsuitable Investment Recommendations
- Stephen Murray Allegedly Churns His Clients’ Account
- Stephen Paul Yaworsky Terminated From Raymond James
- Stephen Robert Williams Allegedly Exercises Discretion Without Authorization
- Stephen Sullivan Allegedly Trades A Customer’s Account Excessively
- Stephen Whittaker Allegedly Executes Unauthorized Trades
- Stephen Williams Discharged From LPL Financial
- Stephen Wolferman Allegedly Makes Unsuitable Investment Recommendations
- Stephen Wood Allegedly Breaches His Fiduciary Duty
- Stephen Woods Barred By FINRA
- Steve Morris Terminated From Wynston Hill Capital
- Steve Netzel Allegedly Recommends Unsuitable Investments
- Steven Brodie Allegedly Recommends An Unsuitable Options Trading Strategy
- Steven Case Allegedly Recommends Unsuitable Alternative Investments
- Steven Coffey Allegedly Issues Unsuitable Promissory Notes
- Steven Dolgin Allegedly Breaches His Fiduciary Duty
- Steven John Meyer Was Barred By FINRA Following Allegations Of Churning
- Steven Knuttila Sanctioned By Both FINRA And The State of Minnesota
- Steven Kraut Allegedly Breaches His Fiduciary Duty
- Steven Luftschein Allegedly Engages In Excessive Trading
- Steven Musser Allegedly Makes Unsuitable Recommendations
- Steven Pagartanis Allegedly Converts Customer Funds By Operating A Five Year Long Ponzi Scheme
- Steven Reznik Allegedly Misrepresents And Omits Key Details Regarding Invesmtents
- Steven Roffman Terminated From Ameriprise Financial Services
- Steven Schultz Allegedly Breaches Contract
- Steven Yellen Discharged From Ameriprise Financial Services Following Alleged Rule Violation
- Stewart Malloy Allegedly Makes Unsuitable Investments
- Stifel Nicolaus To Pay $42,000 Award To Investor
- Stuart Henley Allegedly Churns His Customer’s Account
- Stuart Horowitz Allegedly Sells Unsuitable Private Placements
- Stuart Nichols Barred By FINRA Following Allegations Of Excessive Trading
- Stuart Pearl Terminated From Ameriprise Financial Services Following Allegations Of Exercising Discretion In Non-Discretionary Accounts
- Sudesh Jain Allegedly Misleads Multiple Customers
- Suhail Khan Allegedly Recommends Unsuitable Alternative Investments
- Sumitro Pal Allegedly Misappropriates Customer Funds For Outside Investments
- Summit Brokerage Services Ignores Alerts Of Excessive Trading
- Sylvester Knox Suspended By FINRA For Allegedly Executing Unauthorized Discretionary Trades
- Tamara Steele Allegedly Engages In Selling Away
- Terance Power Allegedly Makes Material Misrepresentations
- Teresa Bravo of Aegis Capital Corp Allegedly Recommends Unsuitable Puerto Rico Bonds
- Terrence Diehl Allegedly Engages In Undisclosed Private Securities Transactions
- Terrence Fant Allegedly Breaches His Fiduciary Duty
- Terrence Puricelli Allegedly Executes Unauthorized And Unsuitable Purchases In A Customer’s IRA
- Terry Bahgat Allegedly Misappropriates Funds From Elderly Customers
- Terry Rider Allegedly Misrepresents A Variable Annuity
- Teryl Trenchard Allegedly Converts Customer Funds
- The Alleged Broker Misconduct of B. David Goldstein
- The COVID-19 Pandemic Causes Numerous Investors To Realize They Were Unsuitably Invested In UBS ETRAC Products
- Theodore Coleman Allegedly Trades His Customers’ Accounts Excessively
- Theodore Hart Allegedly Mismanages A Customer’s Account
- Thomas Andrews Allegedly Converted Almost $8.4 Million From Multiple Investors
- Thomas Borruso Allegedly Breaches His Fiduciary Duty
- Thomas Burns Negligently Inflates His Customers’ Net Worth
- Thomas Dunlap Terminated From AXA Advisors
- Thomas Gallo Allegedly Negligently Misrepresents Promissory Notes
- Thomas Gresham Allegedly Takes Part In Both Unsuitable And Excessive Trading
- Thomas H. Lawrence III Allegedly Makes Fraudulent Misrepresentations
- Thomas J. Buck Allegedly Trades Numerous Customer Accounts Excessively
- Thomas Kieffer Allegedly Breaches His Fiduciary Duty
- Thomas Lagan Facing Criminal Charges Of Grand Larceny In The First Degree
- Thomas Laws Allegedly Converts Over $1 Million Of Investor Funds For His Own Personal Use
- Thomas Logue Allegedly Recommends Unsuitable Investments
- Thomas Marino Allegedly Recommends Inappropriate And Unsuitable Investments
- Thomas Martin Suspended For Allegedly Exercising Discretion in Non-Discretionary Accounts
- Thomas McDavid Allegedly Recommends An Unsuitable Options Trading Strategy
- Thomas Meier Allegedly Executes Numerous Unauthorized Transactions
- Thomas Murray Allegedly Makes Unsuitable Investment Recommendations
- Thomas Niles Allegedly Engages In An Unsuitable Pattern Of Short-Term UIT Trading
- Thomas North Allegedly Over-Concentrates A Customer’s Portfolio In Unsuitable Investments
- Thomas Olexa Allegedly Over-Concentrates A Customer’s Portfolio In Aggressive, High-Risk Investments
- Thomas Riquier Barred By The Massachusetts Securities Division
- Thomas Sharp Allegedly Recommends Unsuitable Non-Traded REIT Investments
- Thomas Sova Terminated From Hornor, Townsend & Kent Following Allegations Of Selling An Unregistered Security
- Thomas Stappas Allegedly Recommends Private Investments Without Member Firm Authorization
- Thomas Von Reckers Allegedly Makes Material Misrepresentations About Loan Products
- Thomas Yancey Williams Allegedly Recommends Unsuitable Investments
- Timothy Atyeo Allegedly Over-Concentrates Investor Accounts In Speculative Securities
- Timothy Ayre Discharged From Spencer Edwards
- Timothy Ballard Allegedly Engages In Excessive Trading
- Timothy Beall Allegedly Recommends Outside Investments Without Authorization
- Timothy D. Rice Allegedly Breaches His Fiduciary Duty
- Timothy Gibbons Allegedly Makes Unsuitable Investment Recommendations
- Timothy Hobbs Allegedly Breaches His Fiduciary Duty
- Timothy Hunter Allegedly Makes Unsuitable Recommendations
- Timothy Johnson Allegedly Converts Customer Funds
- Timothy Millis Allegedly Engages In Unsuitable Short-Term Mutual Fund Trading
- Timothy Scherwa Allegedly Exercises Discretion In Non-Discretionary Accounts Without Authorization
- Timothy Touloukian Allegedly Misrepresents Investments In Private Placements
- Timothy Vanlohuizen Allegedly Makes Unsuitable Investment Recommendations
- Todd Kimm Suspended By FINRA Following Allegations Of Unsuitable Short-Term Trading
- Todd Lamberty Accused Of Negligence And Malpractice
- Tom Parks Allegedly Recommends Various Types Of Illiquid And Speculative Securities
- Travis Dillard Allegedly Recommends Unsuitable Equities To Multiple Customers
- Travis Lippmann Allegedly Makes Material Misrepresentations
- Trevor Rahn Allegedly Engages In Unauthorized Margin Trading
- Troy Baldridge Allegedly Misappropriates Customer Funds
- Troy Tremblay Allegedly Sells Customers Illiquid And Speculative Alternative Investments
- Truitt Ficklin Allegedly Misrepresents Multiple Investments
- Tye C. Williams Allegedly Converts $1 Million From Customers’ Accounts
- Tyrone Y. Pang Was Barred By FINRA Following Allegations Of Mishandling Client Funds
- UBS Financial’s Yield Enhancement Strategy Leads to Large Losses for Many Investors
- Update: Recovering Losses in Moodys National REIT
- Van Pearcy Allegedly Makes Unsuitable Investment Recommendations
- Vaughn Andrews-McKay Allegedly Converts Almost $50,000 From Multiple Customers
- Vernon Sears Allegedly Recommends Unit Investment Trusts To Unsuited Investors
- Veronica Lopez Allegedly Recommends Unsuitable Securities
- Vertical U.S. Recovery Fund
- Vicente Davila Discharged From Morgan Stanley
- Victor Connor Allegedly Manages Customer’s Account Negligently
- Victor Dandridge III Allegedly Misappropriates Customer Funds
- Victor Michel Allegedly Engages In Churning
- Victor Rigoni Allegedly Breaches Contract
- Victoria Vandyke Allegedly Breaches Her Fiduciary Duty
- Vincent Mazza Allegedly Breaches Contract
- Vincent Sciabica Allegedly Recommends An Unnecessary UIT Trading Strategy
- Vitthal Patel Allegedly Forges Customer Signatures
- Walter G. Taylor Discharged From Wells Fargo Clearing Services
- Walter Marino Allegedly Recommends Highly Unsuitable Annuity Switches
- Walter Olsson Allegedly Engages In Unapproved Outside Securities Transactions
- Walter Parker Allegedly Recommends The Fraudulent UDF IV Fund
- Walter Valenzuela Allegedly Excessively Trades Customer Accounts
- Wenjinn Chang Allegedly Invests His Customer In Unsuitable Non-Traded REITs
- Wesley Clinton Allegedly Recommends Unsuitable Investments
- Wesley Foltz Allegedly Recommends Unsuitable Non-Traded REITs
- Wesley Perkins Allegedly “Cherry Picked” Winning Trades For His Favorable Clients In A Fraudulent Insider Trading Scheme
- Western International Securities sanctioned for failing to supervise its non-traded REIT business
- Will New Rules Oust The IRA Scoundrels?
- William A. Hightower Allegedly Invests Customers In Fraudulent Private Offerings
- William Athas Allegedly Engages In Churning
- William Aubrey Morrow Allegedly Recommends Unsuitable Investments
- William B. Baum Allegedly Fails To Recommend Suitable Investments
- William Braun Allegedly Recommends An Unsuitable Private Placement
- William Bridgers Allegedly Purchases Unsuitable Securities In The Energy Sector
- William Brunner Allegedly Churns Multiple Customers’ Accounts
- William Burks Allegedly Fails To Disclose The Illiquidity Of Alternative Investments
- William Byrd Allegedly Forgoes Investing Suitably To Maximize Commissions
- William Campbell Allegedly Makes Unsuitable Investment Recommendations
- William Council Allegedly Recommends Unsuitable Securities
- William D. Nelson Barred By FINRA
- William Downing Allegedly Excessively Trades Customer Accounts
- William Eugene Riley Jr. Allegedly Breaches His Fiduciary Duty
- William Evans IV Allegedly Engages In Financial Elder Abuse
- William F. Fox Allegedly Recommends Unsuitable Non-Traded REITs
- William Foster Allegedly Misrepresents A Variable Annuity
- William Franklin Richardson Allegedly Recommends Unsuitable Securities
- William Gammon Allegedly Places Multiple Customers In Illiquid Private Placements
- William Gennity Allegedly Churns Multiple Customer Accounts
- William Glaser Allegedly Unsuitably Advises Customers To Liquidate Assets And Purchase Promissory Notes
- William Harvey Allegedly Executes Unauthorized Trades
- William Heiden Allegedly Engages In Financial Elder Abuse
- William Henry Watson Allegedly Recommends Inappropriate Investments
- William Jordan Jr. Allegedly Engages In A Fraudulent Trading Scheme Designed To Falsify Market Growth
- William Koenig Allegedly Over-Concentrates A Customer’s Portfolio In An Unsuitable Holding
- William Lancaster Barred By The Oklahoma Department Of Securities
- William Michael Robertson Allegedly Fails To Disclose Associated Risks
- William Ornstein Allegedly Breaches His Fiduciary Duty
- William Paynter Allegedly Recommends Unsuitable Investments
- William Rossi III Allegedly Breaches His Fiduciary Duty
- William Sines Allegedly Recommends An Investor Liquidate Their Annuity To Purchase Unsuitable Private Investments
- William Slone Allegedly Engages In Unauthorized Trading
- William Thurmond Allegedly Over-Concentrates A Customer’s Account In Unsuitable Leveraged ETFs
- William Wyman Allegedly Sells Away From His Member Firm
- Windsor Street Capital Expelled By FINRA
- Wolf Popper Allegedly Distributes False Information Regarding Variable Annuities
- Xavier Patino Suspended By FINRA And Terminated From J.P. Morgan
- Yousuf Saljooki Allegedly Recommends Unsuitable Investments
- Yvonne Nirelli Suspended By FINRA For Allegedly Executing Unauthorized Trades
- Yvonne Silguero Allegedly Misrepresents And Omits Material Facts
- Ziv Ohel Allegedly Executes Unauthorized Trades
