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228 results found. Viewing page 1 of 10. Go to page 1 2 3 4 5 6 7 8 9 10   Next
Scott Polish, a broker from Ohio, has reportedly been permanently barred due to allegations of broker theft. Scott Polish was reportedly working for Wells Fargo at the time. He was registered with ... Continue reading "Scott Polish Permanently Barred for Broker Theft" »
Former Voya broker Martin Stancik was hit with a criminal complaint that he allegedly committed mail fraud and aggravated identity theft. He is also accused of defrauding his clients out of $543,369. ... Continue reading "Former Voya Broker Martin Stancik Hit with Mail Fraud Allegations" »
A former JP Morgan financial advisor, Rick Konecny, has been accused by former clients of recommending unsuitable investments, unauthorized trading and overconcentration. Rick Konecny was discharged ... Continue reading "Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration" »
Former Merrill Lynch broker, Sylvester Knox, voluntarily resigned from his position after misconduct of unauthorized trading, unsuitable recommendations, and misrepresentation was alleged by his ... Continue reading "Broker Sylvester Knox Accused of Misrepresentation and Unauthorized Trading" »
Broker Kee Chan recently settled a case with the Securities and Exchange Commission (SEC), which accused him of mortgage-backed securities fraud while he was registered as a broker/dealer with Nomura ... Continue reading "Broker Kee Chan Settles Mortgage-Backed Securities Fraud Allegations With SEC" »
Stockbroker Steven Luftschein is under investigation for unauthorized trading and other stockbroker misconduct. According to a June 2, 2017 BrokerCheck report from the Financial Industry Regulatory ... Continue reading "Steven Luftschein Under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct" »
The investor fraud attorneys at Meyer Wilson are interested in speaking with you if you had money invested by Robert Rotunno, who is accused by several of his former customers of stockbroker ... Continue reading "Meyer Wilson Investigating Broker Robert Rotunno for Alleged Stockbroker Misconduct" »
Former Ameriprise Financial Services, Inc. broker Mark Speakman was recently sentenced to 60 months in prison for defrauding his clients more than $1.1 million in an investment fraud scheme between ... Continue reading "Former Ohio Financial Advisor Mark Speakman Sentenced For Defrauding Clients More Than $1.1 Million" »
Records from the Financial Industry Regulatory (FINRA) show that stockbroker Todd Ryman, who has been registered with SunTrust Investment Services since February 2017, is the subject of several ... Continue reading "Todd Ryman Accused of Recommending Unsuitable Private Investment Fund" »
Michael Patrick Spolar is currently employed by International Assets Advisory LLC. He was previously registered with LPL Financial LLC, Morgan Stanley, Merrill Lynch, Citigroup, and Lehman Brothers. ... Continue reading "Michael P. Spolar Faces Charges of Investment Unsuitability" »
The board of the Financial Industry Regulatory Authority (FINRA) recently moved to increase disclosures from firms and brokers that fail to pay arbitration awards and to strengthen the sanctions they ... Continue reading "FINRA Pushes Along Proposals to Crack Down on Unpaid Arbitration Awards and High-Risk Brokers" »
Stockbroker John Carolyn (CRD# 4485799) is currently registered with UBS Financial Services, Inc. and has been affiliated with the firm in Houston, Texas since February 2002. He was not previously ... Continue reading "Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities" »
Stockbroker Robert Yahney, CRD# 4038119, is currently registered with Merrill Lynch in Tampa, Florida and has been with the firm since 1999. He has not had any previous registrations with other firms ... Continue reading "Broker Robert Yahney Has Been Accused of Omission of Facts and Misrepresentation" »
Broker Jason Lyn Figueroa (CRD #5062799) was formerly registered with The GMS Group, LLC in Boca Raton, Florida from April 2008 to April 2015. During his association with the firm, he was accused of ... Continue reading "Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence" »
The Financial Industry Regulatory Authority (FINRA) has recently received an increasing number of reports of people receiving unexpected checks, sometimes from organizations with names of objects ... Continue reading "Protecting Yourself from Fake Check Scams" »
The Financial Industry Regulatory Authority (FINRA) began noticing fake transfer requests about five years ago and according to their disciplinary database, there have been 42 cases dating back to ... Continue reading "Scammers Attempting To Fool Brokerages with Fake Email Transfer Requests" »
Thomas Edward Andrews, formerly a stockbroker with LPL Financial, is currently serving time in federal prison after pleading guilty to securities and mail fraud. The Securities and Exchange Commission ... Continue reading "SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds" »
If you lost money investing with former Ameriprise Financial Services, Inc. broker and investment adviser Peter F. Butler (CRD# 1942182), our securities fraud attorneys at Meyer Wilson may be able to ... Continue reading "Did You Lose Money Investing With Peter Butler?" »
Meyer Wilson is investigating investments made by Gregg D. Templeton (CRD# 2412775), who has been accused of misrepresentation and omissions. He is no longer registered with any brokerage firm. ... Continue reading "Meyer Wilson Investigating Broker Gregg D. Templeton Over Allegations of Misrepresentation and Omissions" »
Meyer Wilson is investigating investments made by William Francis Gillis (CRD# 1198878), a National Securities Corporation broker from Seattle. According to an April 17 BrokerCheck report by the ... Continue reading "Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations Against William Francis Gillis" »
Minnesota stockbroker Steven Knuttila (CRD# 3039112) has been hit with nine customer complaints relating to unsuitable recommendations and poor investment advice. Steven Knuttila is currently ... Continue reading "Steven Knuttila Investigated for Unsuitability and Poor Investment Advice" »
Richard Broadstone, a stockbroker in New Albany, Ohio, has been discharged from UBS Financial and barred for unauthorized trading. Richard Broadstone worked at UBS Financial for about 10 years. During ... Continue reading "Stockbroker Ronald Broadstone Discharged and Barred for Unauthorized Trading" »
Meyer Wilson is investigating potential unauthorized trading claims against former broker Jeffrey T. Kluge (CRD# 2187964). Kluge’s broker career consists of a single 25-year registration with ... Continue reading "Broker Jeffrey T. Kluge Under Investigation for Unauthorized Trading" »
Broker Jeffrey Randolph Wilson (CRD #1161819) is currently registered with Wells Fargo Clearing Services, LLC in Las Cruces, New Mexico and has been with the firm since May 23, 2014. During his ... Continue reading "Broker Jeffrey Wilson Under Investigation for Excessive Trading, Unsuitable Recommendations" »
Stockbroker Donnie Eugene Ingram (CRD# 1416971), formerly of Investors Capital Corporation of Winter Haven, Fla. is under investigation for several possible instances of unsuitable investment ... Continue reading "Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?" »
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