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LPL Financial Adviser Robert J. Earls, Jr. has Three Customer Complaints, Alleging Theft

Robert Earls, Jr. (CRD#: 1369915) is a previously registered Financial Advisor with LPL Financial, LLC in Roanoke, Virginia.  Broker’s Background Robert Earls, Jr.  entered the securities industry in 1985 and has worked for a number of brokerage firms, including Royal Alliance Associates, Inc., Uvest Investment Services, and most recently, LPL Financial, LLC. Current And Past […]

Financial Advisor Ran Regev is the Subject of a Customer Complaint Involving Investment Loss

Ran Regev (CRD#: 5469190) is a FINRA registered Financial Advisor. Broker’s Background Ran Regev entered the securities industry in 2008. He previously worked with Metlife Securities, Inc. and Sagepoint Financial, Inc., which is now owned by Osaic Wealth, Inc.  Ran Regev is located in Fort Lauderdale, FL. Allegations of Conduct Leading to Investment Loss The […]

FINRA Barred Former Broker Reuben Brown for Selling Away

Reuben Lamont Brown (CRD#: 7089559) is a previously registered broker and financial advisor.   Broker’s Background He entered the securities industry in 2019 and he previously worked with Edward Jones.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of 2024, without admitting or denying […]

SEC charges the Estate of Former Registered Investment Advisor Stephen Swensen for Fraudulent Investment Scheme

Stephen Romney Swensen (CRD#:2885578) was a registered broker and investment advisor.   Broker’s Background He entered the securities industry in 1997 and previously worked with Robert W. Baird & Co.; Northwestern Mutual Investment Services; Park Avenue Securities, LLC; Securian Financial Services, Inc.; Commonwealth Financial Network; Summit Brokerage Services, Inc.; Allegis Investment Services, LLC; J.W Cole […]

Financial Advisor Manuel Fernandez Subject of $1M Customer Dispute Involving Unsuitability

Manuel Antonio Fernandez (CRD#: 3079976) is a registered broker with Truist Investment Services, Inc. in Coral Gables, FL.   Broker’s Background He entered the securities industry in 1998, and he previously worked with UBS Painewebber, Morgan Stanley, and SunTrust Investment Services, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Financial Advisor Matthew Steinberg Subject of $2.5M Customer Dispute

Matthew Steinberg (CRD#: 2430032) is a registered broker at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and he previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November of […]

WeedGenics | Ponzi Scheme Fraud

Ponzi schemes are one of the most common kinds of financial fraud. The number of Ponzi schemes worldwide suggests that this kind of scam is seeing a powerful uptick as well. In 2023, 66 Ponzi schemes were discovered, costing investors nearly $2 billion in losses, according to Ponzitracker.com. This total is nearly double the amount […]

Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in Premium Financed Life Insurance Policies

The Wolper Law Firm represents investors around the country who have lost money in complex investment and insurance strategies, including premium financed life insurance policies.  Insurance strategies involving premium financing arrangements have become popular in recent years because of the low interest rate environment.  Insurance brokers and agents present premium financed life insurance strategies as […]

SEC Sanctioned Registered Broker and FA Sanford M. Katz with a Cease-and-Desist Order

Sanford M. Katz (CRD#: 1558898) is a registered broker and investment advisor at Wells Fargo Clearing Services, LLC. Broker’s Background He entered the securities industry in 1986 and previously worked with Goldman, Sachs & Co.; UBS Financial Services, Inc.; and Credit Suisse Securities (USA) LLC. Allegations of Misconduct According to publicly available records released by […]

Financial Advisor Matthew Wilkes Subject of $2.6M Customer Dispute

Matthew Kenneth Wilkes (CRD#: 5409004) is a registered investment advisor at Greensview Wealth Management in Franklin, TN. Broker’s Background He entered the securities industry in 2007. He previously worked with Chase Investment Services Corp.; Natcity Investment, Inc.; PNC Investments; Wells Fargo Advisors, LLC; FSIC; Raymond James Financial Services Advisors, Inc; United Advisors Services, LLC; Trustfirst; […]