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Category: 1inMM Capital LLC
- Financial Advisor Zachary Horwitz (1inMM Capital, LLC) Customer Complaints
Category: 1st Global Capital
- Financial Advisor James “Jim” Heafner (1st Global Capital, LLC) Customer Complaints
- INVESTOR UPDATE—On August 23, 2018, The SEC Filed A Complaint Against 1st Global Capital, 1st West Capital, Carl Ruderman And Entities Controlled By Carl Ruderman Alleging Securities Fraud?
Category: 1st West Capital
Category: Aegis Capital Corp
- SEC Files Enforcement Action Against Former Financial Advisor Surage Roshan Perera
- FINRA Suspends Financial Advisor Teresa Douberly
- Financial Advisor M.B. Schreiber Suspended by FINRA
- Financial Advisor Arkady Ginsburg (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Joseph LaScala, Jr. (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Johnny Guan (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Joseph Giordano (Acceptus Capital Corp.) Customer Complaints
- Financial Advisor Daniel O’Neill (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Gilbert Kuta (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Yann Faho (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Kishan Parikh (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Corey Alexander Johnson (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Anthony Tricarico (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Thomas Edison Kelly, Jr. (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Thomas Duggan (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Matthew Gaer (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Pratul Agnihotri (Spartan Capital Securities, LLC) Customer Complaints
- Financial Advisor Alan Appelbaum (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Paul Falcon (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Pedro Rodriguez (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Damian Mamane (Aegis Capital Corp.) Customer Complaints
- Financial Advisor Dominic Diorio (Aegis Capital Corp.) Customer Complaints
Category: Aequitas Commercial Finance
- Financial Advisor Jennifer Ling (Axiom Capital) Customer Complaints
Category: Alexander Capital
- Financial Adviser John Femiano Has Five Disclosed Customer Complaints
- Financial Advisor Jody Thompson (Alexander Capital, LP) Customer Complaints
- Financial Advisor William Thurmond (Alexander Capital, LP) Customer Complaints
Category: Allegis Investment
- Financial Advisor Brandon Stimpson (Allegis Investment Services, LLC) Customer Complaints
- Financial Advisor Heath Bowen (Allegis Investment Services, LLC) Customer Complaints
- Financial Advisor Peter Klaass (Allegis Investment Services, LLC) Customer Complaints
Category: Alliance Global Partners
- Financial Advisor Paul Gallivan Suspended by the SEC for Allegedly Making Misrepresentations
- Financial Advisor Paul Gallivan (Alliance Global Partners) Customer Complaints
Category: Allied Millennial Partners Financial
- Financial Advisor David Menhashe Barred by FINRA
- Financial Advisor James B. Eichner, Jr. (Allied Millennial Partners, LLC) Customer Complaints
Category: Allstate Financial Services
- Financial Advisor Andrew Durham (Allstate Financial Services, LLC.) Customer Complaints
- Financial Advisor Elizabeth Sollars (Allstate Financial Services, LLC.) Customer Complaints
Category: American Asset Advisory LLC
- Financial Advisor Wayne Miller (Aeon Capital Inc.) Customer Complaints
Category: American Independent Investment Group
- Financial Advisor Nicholas Radke (American Independent Investment Group) Customer Complaints
Category: American Independent Securities Group
- Financial Advisor Thomas Logue (American Independent Securities Group) Customer Complaints
Category: American Portfolio Services
- Financial Advisor Robert Halldin (American Portfolios Financial Services, Inc.) Customer Complaints
- Financial Advisor Brian Dibrino (American Portfolios Financial Services, Inc.) Customer Complaints
- Financial Advisor Mark L. Hopkins (American Portfolios Financial Services, Inc.) Customer Complaints
Category: American Wealth Management
- Financial Advisor Brian Stephan (American Wealth Management) Customer Complaints
Category: Ameriprise Financial Services
- Financial Adviser Ted Boutis Has Four Disclosed Customer Complaints
- Financial Advisor Brent Makarczyk Disclosed Customer Complaints Involving Annuities
- Former Financial Advisor Francis Velten Barred by FINRA For Alleged Churning
- Financial Advisor Arthur Grossbard (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Jonathan Turner (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Shawn Elizabeth Parker (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Ronald S. Bright (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Murray Petersen (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Kevin Houser (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Angel Bardeche (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Sean Refsnider (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Arthur Hoffman (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Bryant Caveness (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Jeffrey McHale (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Joseph Peggs (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Keith M. Kordich (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Bruce Smith (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Michael Lipscomb (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Robert Humberston (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Michael Pepe (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Jack Griffith (Janney Montgomery Scott LLC) Customer Complaints
Category: Ameritas Investment Corp
- Financial Advisor Gary Barth (Ameritas Investment Corp.) Customer Complaints
- Financial Advisor James F. Anderson (Ameritas Investment Corp.) Customer Complaints
- Financial Advisor Kristian Gaudet (Ameritas Investment Corp.) Customer Complaints
- Financial Advisor John Kittner (Ameritas Investment Corp.) Customer Complaints
Category: Arive Capital Markets
- Lon Faccini, Jr. Suspended by FINRA After Allegations of Churning
- Financial Advisor Christian Luchetto (Arive Capital Markets) Customer Complaints
- Financial Advisor John J. Santariello (Arive Capital Markets) Customer Complaints
Category: Arkadios Capital
- Financial Advisor Mark A. Thompson Has Three Disclosed Customer Complaints
- Financial Advisor Jeffrey Shaver Has Four Disclosed Customer Complaints
- Financial Advisor Joseph P. Young (Arkadios Capital) Customer Complaints
- Financial Advisor Mark Reffett (Arkadios Capital) Customer Complaints
- Financial Advisor Kevin Rainwater (Arkadios Capital) Customer Complaints
- Financial Advisor Michael Sievert (Arkadios Capital) Customer Complaints
Category: Arrive Capital Markets
- Financial Advisor Mirsad A Muharemovic Suspended by FINRA
Category: Ascendant Alternative Strategies
- Financial Advisor Aaron Maurer (Ascendant Alternative Strategies, LLC) Customer Complaints
Category: Ausdal Financial Partners
- Financial Advisor David Geake (American Trust Investment Services, Inc.) Customer Complaints
- Financial Advisor Kurt Baldry (Ausdal Financial Partners, Inc.) Customer Complaints
- Financial Advisor Randy Birkinbine (Ausdal Financial Partners, Inc.) Customer Complaints
- Financial Advisor Christopher Neston (Ausdal Financial Partners, Inc.) Customer Complaints
Category: Avantax Investment Services
- Financial Advisor David Test Suspended by FINRA
Category: AXA Advisors LLC
- Financial Advisor Jenna Kang (AXA Advisors LLC) Customer Complaints
Category: Bank of America
Category: Barclays
- SEC Sanctions Multiple Brokerage Firms Over Text Messaging And WhatsApp
Category: BB&T Securities
- Financial Advisor Glenn Brandon (BB&T Securites, LLC) Customer Complaints
Category: Benchmark Investments LLC
- Financial Advisor Todd Ray Anderson Sanctioned by FINRA For Failing to Disclose Fee Concessions to Elderly Investors
Category: Benefit Street Partners
- How Can I Recover My Investment Losses In Benefit Street Partners REIT?
Category: Benjamin & Jerold Brokerage
- Financial Advisor Rand A. Heckler (Benjamin & Jerold Brokerage, LLC) Customer Complaints
- Financial Advisor Juergen Weber (Benjamin & Jerold Brokerage, LLC) Customer Complaints
Category: Benjamin Edwards & Co
- Financial Advisor Thomas Kintz (Benjamin F. Edwards and Co., Inc.) Customer Complaints
- Financial Advisor John Griner (Benjamin F. Edwards and Co., Inc.) Customer Complaints
- Financial Advisor Maureen Scalzo (Benjamin F. Edwards and Co., Inc.) Customer Complaints
Category: Berthel Fisher & Co.
- Financial Advisor Joseph Weinbauer Has Disclosed Three Customer Complaints
- Financial Advisor Steve Cummings (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
- Financial Advisor Dennis Fearing (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
- Financial Advisor Mason Gann (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
- Financial Advisor Jonathan Pyne (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
- Financial Advisor Jonathan T. Pyne (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
Category: Bhargava Capital Financial
- Financial Advisor Tonya Smoake (Bhargava Capital) Customer Complaints
Category: BMA Securities
- Financial Advisor Martin Noonan (BMA Securities) Customer Complaints
Category: BMO Harris
- Financial Advisor Lori Ann Sacco (BMO Harris Financial Adivsors, Inc.) Customer Complaints
Category: BOK Financial Securities
- Financial Advisor Gihan Fernando (Crown Capital Securities, L.P.) Customer Complaints
Category: Breitburn Energy
Category: Brokers International Financial Services
- Financial Advisor Mark Christopher Perry (Brokers International Financial Services, LLC) Customer Complaints
Category: Cabot Lodge Securities
- Financial Advisor Bruce Ciallella (Cabot Lodge Securities LLC) Customer Complaints
- Financial Advisor Robert Tweed (Cabot Lodge Securities LLC) Customer Complaints
Category: Cadaret Grant & Co.
- Financial Advisor William Johnson (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor Timothy Pandekakes (American Portfolios Financial Services, Inc.) Customer Complaints
- Financial Advisor Michael Coomes Jr. (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor William Winchester (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor Steven Hoffman (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor Eugene Long (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor Gerald Dewes (Cadaret, Grant & Co., Inc.) Customer Complaints
Category: Calibre Consulting Group, LLC
- Financial Adviser Ryan Reaume Riley Barred by SEC After Allegations of Fraud
Category: Calton & Associates
- Financial Advisor Bart Bohrer (Calton & Associates, Inc.) Customer Complaints
- Financial Advisor Justin Mitchell (Capital Financial Services) Customer Complaints
- Financial Advisor Mark T. Lamkin (Calton & Associates, Inc.) Customer Complaints
Category: Cambria Capital
- Financial Advisor Steven Musielski (Cambria Capital, LLC) Customer Complaints
Category: Cambridge Investment Research
- Financial Advisor Archie Blood Fined & Suspended by FINRA
- Financial Advisor Dale Wright (Cambridge Investment Research) Customer Complaints
- Financial Advisor David Melilli (Cambridge Investment Research) Customer Complaints
- Financial Advisor Stewart Schram (Cambridge Investment Research) Customer Complaints
- Financial Advisor Michael Francoeur (Cambridge Investment Research) Customer Complaints
- Financial Advisor Philip Smelser (Cambridge Investment Research) Customer Complaints
- Financial Advisor Ronald Paull (Cambridge Investment Research) Customer Complaints
- Financial Advisor Gary Meier (Cambridge Investment Research) Customer Complaints
- Financial Advisor Alan Dole (Cambridge Investment Research) Customer Complaints
- Financial Advisor John Pronovost (Cambridge Investment Research) Customer Complaints
Category: Cantella & Co.
- Financial Advisor Clinton Byrd Suspended by FINRA
- Financial Advisor WIlliam Fochi, Jr. (Cantella & Co., Inc.) Customer Complaints
- Financial Advisor Donald Teboe (Cantella & Co., Inc.) Customer Complaints
- Financial Advisor Peter Marketos (Raymond James Financial Services, Inc.) Customer Complaints
Category: Cantone Research Inc
- Financial Advisor Anthony Cantone (Cantone Research Inc) Customer Complaints
Category: Cantor Fitzgerald
Category: Cape Securities
- Financial Adviser Samuel Bruce Phillips, Jr. Disclosed Customer Complaint Relating to a DST Investment
Category: Capital City Securities
- Financial Advisor Clint H. Keener (Capital City Securities, LLC) Customer Complaints
Category: Capital Financial Services
- Financial Advisor William Dean Byrd (Capital Financial Services) Customer Complaints
- Financial Advisor Lloyd Johnston (Capital Financial Services) Customer Complaints
Category: Capital Portfolio Management
- Financial Advisor Charles Laubach (Capital Portfolio Management) Customer Complaints
Category: Capitol Securities Management
- Financial Advisor Michael Rubel (B. Riley Wealth Management) Customer Complaints
Category: Carlton & Associates
- Financial Adviser Shawn Spellacy Discloses $719,000 Customer Complaint
- Financial Advisor Chris Kubiak (Carlton & Associates) Customer Complaints
Category: Celadon Financial Group
- Financial Advisor Michael Mancinelli (Celadon Financial Group, LLC) Customer Complaints
Category: Centaurus Financial
- Financial Advisor John Starke Has Eight Customer Complaints
- Financial Advisor Patrick Hobert Disclosed Eleven Customer Complaints
- Financial Advisor Valentino Scott Has Disclosed Eight Customer Complaints
- Former Financial Advisor Otto Bohon Has Five Customer Complaint Disclosures
- Wolper Law Firm, P.A. Is Investigating GWG Holdings Claims Against Centaurus Financial
- Financial Advisor Galen Kopman (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Jonathan Dudley (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Tony Kassaei (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor JP Turner (Ricky Mantei) Customer Complaints
- Financial Advisor Ricky Mantei (JP Turner & Co) Customer Complaints
- Financial Advisor Dana M. Hawkins (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor John W. Marshall, Jr. (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Marc Korsch (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor William Burks (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Donnie Ingram (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Bryon Martinsen (Centaurus Financial, Inc.) Customer Complaints
- Financial Advisor Ralph Quintana (Centaurus Financial, Inc.) Customer Complaints
Category: Center Street Securities
- Financial Adviser Kenneth James New Discloses Two Customer Complaints
- Broker Glenn Romer Disclosed Two Customer Complaints
- Financial Advisor Seth Stewart Has Four Disclosed Customer Complaints
- Financial Advisor Joseph “Joe” Latour (Center Street Securities, Inc.) Customer Complaints
- Financial Advisor Sean Kelly (Center Street Securities, Inc.) Customer Complaints
Category: Century Securities Associates
- Financial Advisor Bernard McLaughlin (Century Securities Associates) Customer Complaints
Category: Cetera Advisors LLC
- Financial Advisor Stephen Lawler Has Five Disclosed Customer Complaints
- Financial Advisor Edward Rosenblatt has Six Disclosed Customer Complaints
- Financial Advisor Timothy Farris has One Disclosed Customer Complaint
- Financial Advisor Joshua A. Green Has Disclosed Two Customer Complaints
- Financial Advisor Peter Rhee Has Three Disclosed Customer Complaints
- Former Broker Xinxin Lu is the Subject of a $5 Million Complaint Over Northstar (Bermuda), Beechwood Bermuda Investment
- Financial Advisor Ronald Whittingham (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Sarah Komischke (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Todd Ray Anderson (Benchmark Investments, Inc.) Customer Complaints
- Financial Advisor Ronnie Metcalf (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Lang Phu Nguyen (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Richard Whitfield Brown (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Stanley Secor (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor David Aaron Rockwell (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Victor A. Rigoni III (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Roger Owens (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Stephen Carver (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Christopher Kozak (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor James G. McKinney (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor David Rockwell (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Richard L. Pittman (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor George C. Merhoff, Jr. (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Donna J. Hines (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Travis Hughes (Cetera Investment Services, LLC) Customer Complaints
- Financial Advisor Jerry Michna (Cetera Investment Services, LLC) Customer Complaints
Category: Charles Schwab & Co.
- Financial Advisor Ethan Martin Barred by FINRA for Allegedly Converting Customer Funds
- Financial Advisor Justin Dolan (Charles Schwab & Co., Inc.) Customer Complaints
Category: Chelsea Financial Services
- Financial Advisor Michael Bastardi (Chelsea Financial Services) Customer Complaints
- Financial Advisor Charles Bloom (International Assets Advisory, LLC) Customer Complaints
Category: Citigroup
Category: Citigroup Global Markets
- Rabih Msallem Discloses Customer Complaint Regarding Structured Note Investments
- Financial Advisor Hector Evangelista Discloses Complaint Regarding Structured Notes
Category: Coastal Equities
- SEC Files Enforcement Action Against Financial Advisor Clarice Saw
- Financial Advisor Robert Mehlin, Jr. Fined & Suspended by FINRA For Alleged Unauthorized Trading
- Financial Advisor Luke Johnson (Coastal Equities, Inc.) Customer Complaints
- Financial Advisor Dudley Stephens (Coastal Equities, Inc.) Customer Complaints
- Financial Advisor Robert C Mehlin, Jr. (Coastal Equities, Inc.) Customer Complaints
Category: Comerica Securities
- Financial Advisor William Torriente Barred by FINRA After Allegations of Unauthorized Trading
Category: Commonwealth Financial Network
- Financial Advisor Billy Stanage Jr. Barred by FINRA
- Financial Advisor Gerald Eaton (Commonwealth Financial Network) Customer Complaints
- Financial Advisor Benjamin Bourgeois (Commonwealth Financial Network) Customer Complaints
- Financial Advisor James Austin King III (Commonwealth Financial Network) Customer Complaints
Category: Concorde Investment Services
- Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in the Epoch Fort Collins DST
- Concorde Investment Services Sanctioned by FINRA After Allegations of Unsuitability & Investment Loss
- Financial Advisor Mark Huber (Concorde Ivestment Services, LLC) Customer Complaints
- Financial Advisor Barry Lemay (Concorde Ivestment Services, LLC) Customer Complaints
- Financial Advisor William Morrow (Concorde Ivestment Services, LLC) Customer Complaints
- Financial Advisor Joseph Michaeletz (Concorde Ivestment Services, LLC) Customer Complaints
- Financial Advisor David Zupek (Concorde Ivestment Services, LLC) Customer Complaints
- Financial Advisor Larry Werbel (Concorde Ivestment Services, LLC) Customer Complaints
Category: Coordinated Capital Securities
- Financial Advisor Daniel Hajduk Barred by FINRA
Category: Corecap Investments Inc
- Financial Advisor Judith Villareal (Corecap Investments, Inc.) Customer Complaints
- Financial Advisor Ernest Romer (Corecap Investments, Inc.) Customer Complaints
Category: Country Capital Management Company
- Financial Advisor Robert P. Allen (Country Capital Management Company) Customer Complaints
- Financial Advisor Adam Michael Lopez (Country Capital Management Company) Customer Complaints
Category: CP Capital Securities
- Financial Advisor Jorge A. Reyes (CP Capital Securities) Customer Complaints
Category: Creative Planning
- Wolper Law Firm, P.A. Investigates Creative Planning and its Options Trader, Brandon Hanna
Category: Credit Suisse
- Financial Advisor David Fenning (Morgan Stanley) Customer Complaints
Category: Crew Capital Group
- Financial Advisor Stephen R. Swensen Sued by the SEC
Category: Crown Capital Securities
- Financial Advisor Hugh Barndollar III Fined & Suspended By FINRA
- Financial Advisor Frederick Atiyeh (Crown Capital Securities, L.P.) Customer Complaints
- Financial Advisor Kenneth Barroga (Crown Capital Securities, L.P.) Customer Complaints
- Financial Advisor Dennis Haywood (Crown Capital Securities, L.P.) Customer Complaints
- Financial Advisor Kristian Finfrock (Kalos Capital, Inc.) Customer Complaints
- Financial Advisor Kevin Canterbury (Coastal Equities, Inc.) Customer Complaints
- Financial Advisor Lanny Howarter (Crown Capital Securities, L.P.) Customer Complaints
- Financial Advisor William Benjamin Dusenbury Heritage (Crown Capital Securities, L.P.) Customer Complaints
Category: Crystal Bay Securities
- Financial Advisor Rafael Golan (Crystal Bay Securities, Inc.) Customer Complaints
Category: CUSO Financial Services
- Financial Advisor Gerald T. Coyne (CUSO Financial Services) Customer Complaints
- Financial Advisor Eric Shanks (CUSO Financial Services) Customer Complaints
Category: D.A. Davidson
- Financial Advisor Mark Delgadillo (D.A. Davidson & Co.) Customer Complaints
- Financial Advisor Gregory Tucker (D.A. Davidson & Co.) Customer Complaints
Category: D.H. Hill Securities
- Financial Advisor Peter Bakalis (D.H. Hill Securities, LLLP) Customer Complaints
- Financial Advisor Lynn Mathre (D.H. Hill Securities, LLLP) Customer Complaints
- Financial Advisor Charles Stephens (D.H. Hill Securities, LLLP) Customer Complaints
Category: Dakota Securities
- Financial Advisor Thomas Beattie (Dakota Securities) Customer Complaints
Category: Daniel Investment Management
- The Wolper Law Firm, P.A. Is Looking To Speak With Investors Of Essex Capital Corp., Which Has Been Charged With Fraud By The SEC
Category: David A Noyes & Co.
- Financial Advisor Stuart Pearl (David A Noyes & Company) Customer Complaints
- Financial Advisor Scott L Reed (FS Investment Solutions, LLC) Customer Complaints
- Financial Advisor James Kirchner (Fourstar Wealth Advisors, LLC) Customer Complaints
- Financial Advisor Luigi Mancusi (David A Noyes & Company) Customer Complaints
- Financial Advisor Jeannette Adcock (David A Noyes & Company) Customer Complaints
Category: David Lerner Associates
- Financial Advisor Charles Bonilla (David Lerner Associates, Inc.) Customer Complaints
- Financial Advisor Glenn Werner (David Lerner Associates, Inc.) Customer Complaints
- Financial Advisor Michael Norton (David Lerner Associates, Inc.) Customer Complaints
- Financial Advisor Daniel Lerner (David Lerner Associates, Inc.) Customer Complaints
- Financial Advisor Rafael Klein (David Lerner Associates, Inc.) Customer Complaints
- Financial Advisor Francisco Cabral (David Lerner Associates, Inc.) Customer Complaints
- Wolper Law Firm, P.A. Is Investigating David Lerner Associates Regarding Its Sale Of Energy L.P., Energy Resources 12, L.P., And The Spirit Of America Fund
- Financial Advisor Scott Mass (David Lerner Associates, Inc.) Customer Complaints
Category: Dawson James Securities
- Financial Advisor Edmund Zack (Dawson James Securities, Inc.) Customer Complaints
- Financial Advisor Rebecca Belicek (Dawson James Securities, Inc.) Customer Complaints
- Financial Advisor Robert D. Armstrong (Dawson James Securities, Inc.) Customer Complaints
Category: Despain Financial Corp
- Financial Advisor Jay Weiser (Despain Financial Corp.) Customer Complaints
Category: Dinosaur Financial Group
- Financial Advisor David Karandos (Dinosaur Financial Group, LLC.) Customer Complaints
Category: DMK Advisor Group
- Financial Advisor Dale Rampsberger (DMK Advisor Group, Inc.) Customer Complaints
Category: Dominion Portfolio Management Inc.
- Financial Advisor Lance Walston (Dominion Investor Services, Inc.) Customer Complaints
Category: E1 Asset Management
- Financial Advisor Shaun Grimaldi Has Five Disclosed Customer Complaints
Category: Edward Jones
- Financial Advisor Matthew Mierzycki (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Ronald Molo (Edward Jones) Customer Complaints
- Financial Advisor Javelin Mikol San Nicolas (Edward Jones) Customer Complaints
Category: Emerson Equity LLC
- Financial Advisor Darrah Michael Bourke (Emerson Equity LLC) Customer Complaints
Category: Equitable Advisors
- Financial Advisor Alan Margolies has Two Disclosed Customer Complaints
- Financial Advisor Bryan Lubitz Has Disclosed Six Customer Complaints
- Financial Advisor Anthony DiDonna Barred by FINRA
- Financial Advisor Kevin Klickna (Equitable Advisors, LLC) Customer Complaints
Category: Essex Capital Corp.
Category: Essex Securities
- Financial Advisor Michael Lee Has Ten Disclosed Customer Complaints
Category: Excel Wealth Management
- Financial Adviser Duane Pellman was Permitted to Resign from Excel Wealth Management
Category: Fairport Capital
Category: Farmers Financial
- Financial Advisor Narinder Singh (Farmers Financial, LLC) Customer Complaints
- Financial Advisor Kirk Bertsch (Farmers Financial Solutions, LLC) Customer Complaints
Category: Felti & Co.
- Financial Advisor Eric Overvig (Feltl & Company) Customer Complaints
- Financial Advisor Timothy D. O’Brien (Feltl & Company) Customer Complaints
Category: Fifth Third Securities
- Financial Advisor David S. Wells (Fifth Third Securities) Customer Complaints
Category: Financial American Securities
- Financial Advisor James Unger (Financial American Securities) Customer Complaints
Category: Financial Industry Regulatory Authority
- Financial Adviser James F. Garraway Suspended by FINRA After Alleged Forgery of Customer Forms
- Financial Advisor Eric Tartaglione Barred by FINRA
- SEC Files Enforcement Action Against Financial Adviser Joseph Todd
- Financial Adviser Brad M Jacobson Barred by FINRA
- Wolper Law Firm, PA Files FINRA Arbitration Against Stifel, Nicolaus and Morgan Stanley Regarding Silicon Valley Bank and First Republic Bank Losses
- Financial Adviser Sean Pong Barred by FINRA After Allegations of Selling Away
- Financial Adviser Kale Young Suspended by FINRA
- Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in the Nelson Partners Skyloft DST
- What Fiduciary Duties Does My Investment Adviser Owe Me?
Category: Financial Vision Companies
- Financial Advisor Daniel Rudden (Financial Visions, LLC) Customer Complaints
Category: Financial West Group
- Financial Advisor Daniel Maughan (Financial West Group) Customer Complaints
- Financial Advisor John Simoncic (Financial West Group) Customer Complaints
Category: First Allied Securities
- Financial Advisor Brian Donnelly Suspended by FINRA After Allegations of Selling Away
- Financial Advisor Edward Yoon (First Allied Securities, Inc.) Customer Complaints
- Financial Advisor David Kennon (First Allied Securities, Inc.) Customer Complaints
- Financial Advisor Terry Anderson (First Allied Securities, Inc.) Customer Complaints
Category: First American Securities
- Financial Advisor Steven Coffey (First American Securities) Customer Complaints
Category: First Financial Equity Corp.
- SEC Acts Against Financial Advisor Robert High
- Financial Advisor David Volpe (First Financial Equity Corporation) Customer Complaints
- Financial Advisor Stephen Whittaker (First Financial Equity Corporation) Customer Complaints
- Financial Advisor Daniel Levine (Morgan Stanley) Customer Complaints
Category: First Standard Financial Company
- Financial Advisor Frank Venturelli (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Andre Pierre Davis (Paulson Investment Company, LLC) Customer Complaints
- Financial Advisor Robert Spiegel (First Allied Securities, Inc.) Customer Complaints
- Financial Advisor Andre P. Davis (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Debra Bourne (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Gabriel Block (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Philip Sparacino (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor James Bradley Schwartz (Joseph Gunnar & Co., LLC.) Customer Complaints
- Financial Advisor William Gennity (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Levert Caldwell (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Rocco Roveccio (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Lawrence Torres (First Standard Financial Company LLC) Customer Complaints
Category: FMN Capital Corp.
- Financial Advisor Jeffrey Stanga (FMN Capital Corp.) Customer Complaints
Category: FNEX Capital, LLC
- Financial Advisor Chay Lapin Has Six Disclosed Complaints Relating to NP Skyloft DST
Category: Fordham Financial Management
- Financial Advisor Dean Kajouras (Fordham Financial Management) Customer Complaints
Category: Forest Securities
- Financial Advisor Jeffrey Scott Nimmow (Forest Securities, Inc.) Customer Complaints
- Financial Advisor Jack D. Stone (Forest Securities, Inc.) Customer Complaints
Category: Foresters Equity Services
- Financial Advisor Michael Rappa (Foresters Equity Services) Customer Complaints
- Financial Advisor Foresters Equity Services (Michael Rappa) Customer Complaints
Category: Fortune Financial
- Financial Advisor Shane Wilhelm Has Three Customer Complaints
- Financial Advisor Johnathan Freeze (Fortune Financial Services, Inc.) Customer Complaints
- Financial Advisor Jeffrey Butler (Fortune Financial Services, Inc.) Customer Complaints
Category: Founders Financial Securities LLC
- Financial Advisor Bruce C. Worthington (Founders Financial Securities LLC) Customer Complaints
Category: Four Points Capital Partners
- Financial Advisor Michael Martino (Four Points Capital Partners LLC) Customer Complaints
Category: FSC Securities Corp
- Financial Advisor Louis Wargo (FSC Securities Corp) Customer Complaints
Category: FSG Advisors
- Financial Advisor Michael Bressman (FSG Advisors) Customer Complaints
Category: Fusion Analytics Investment Partners
- Financial Advisor Michael Conte (Seton Securities Group, Inc.) Customer Complaints
Category: Garden State Securities
- Financial Advisor Daniel Mackle Has Three Disclosed Customer Complaints
- Financial Advisor Daniel Mackle Has Three Disclosed Customer Complaints
- Financial Advisor Maxim Beliakov (Garden State Securities, Inc.) Customer Complaints
- Financial Advisor Anthony Joslin (Garden State Securities, Inc.) Customer Complaints
Category: Geneos Wealth Management
- Financial Adviser Edward Barfield Has Seven Disclosed Customer Complaints
- Financial Advisor Richard Braverman (Genos Wealth Management, Inc.) Customer Complaints
- Financial Advisor Robert Stanlick (Geneos Wealth Management, Inc.) Customer Complaints
- Financial Advisor Brian Joseph Lockett (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Bradley Tennison (Geneos Wealth Management, Inc.) Customer Complaints
Category: General Securities Corp
- Financial Advisor Noel Carino (General Securities Corp.) Customer Complaints
Category: GlennCap, LLC
- GlennCap LLC Censured by the SEC for Cherry-Picking
Category: GMS Group
- Financial Advisor Malcolm Reader (GMS Group) Customer Complaints
- Financial Advisor William Ornstein (GMS Group) Customer Complaints
- Financial Advisor Thomas Knadle (GMS Group) Customer Complaints
Category: Goldman Sachs
Category: GPB Capital Holdings
- Financial Advisor Scott Kemps (Great Point Capital, LLC) Customer Complaints
- Financial Advisor Daniel Poland (McNally Financial Services Corporation) Customer Complaints
Category: Gradient Securities LLC
- Financial Advisor Douglas Bauerband Discharged from Gradient Securities, LLC
- Former Financial Advisor Nicholas Stovall Permitted to Resign After Alleged Violation of Firm Policies
Category: Granger Management
Category: Great American Investors
- Financial Advisor William Bryson Baum (Great American Investors) Customer Complaints
Category: Great Point Capital Financial Advisor
- Financial Adviser Scott Kemps Has Eight Disclosed Customer Complaints
- Financial Advisor Chad Barancyk (Great Point Capital, LLC) Customer Complaints
Category: Green Vista Capital
- Conservation Easement Recovery Options Against Green Vista Capital And TSP Family Office
- Financial Advisor Andrew Miles (Green Vista Capital, LLC) Customer Complaints
Category: H. Beck Inc
- Financial Advisor John Tweardy (H. Beck, Inc.) Customer Complaints
- Financial Advisor Richard Poston (H. Beck, Inc.) Customer Complaints
Category: Halloway & Associates
- Financial Advisor Frederick Halloway (Halloway & Associates) Customer Complaints
Category: Harbour Investments
Category: Hartman vREIT XXI
- INVESTOR ALERT – How Can I Recover My Investment Losses In The Hartman vREIT XXI
Category: Hazard & Siegel
Category: HD Vest Investment Services
- Financial Advisor Michael Kamperman (HD Vest Investment Services) Customer Complaints
- Financial Advisor Frank H. Kelly (HD Vest Investment Services) Customer Complaints
- Financial Advisor Erin Verespy (HD Vest Investment Services) Customer Complaints
- Financial Advisor Donna Barnard (HD Vest Investment Services) Customer Complaints
- Financial Advisor Jerry Raines (HD Vest Investment Services) Customer Complaints
Category: Henley & Co
- Financial Advisor Barbaraann Bernatzky (Henley & Company, LLC) Customer Complaints
Category: Hennion and Walsh
Category: Herbert J Sims & Co
- Financial Advisor Adam Goodman (Herbert J Sims & Co.) Customer Complaints
Category: Hilliard Lyons
- Financial Advisor Michael Barnett (Hilliard Lyons) Customer Complaints
Category: Hilltop Securities
- Financial Advisor Dennis Ayre (Hilltop Securities Inc.) Customer Complaints
- Financial Advisor Richard Earl Cagle (Hilltop Securities, Inc.) Customer Complaints
- Financial Advisor Mark F. Augusta (Hilltop Securities, Inc.) Customer Complaints
Category: Hornor Townsend & Kent
- Financial Advisor Thomas E. Sova (Hornor, Townsend & Kent, Inc.) Customer Complaints
Category: Huntington Investment Company
- Financial Advisor Wessam Baiz (Huntington Investment Company) Customer Complaints
- Financial Advisor William Kielczewski (Huntington Investment Company) Customer Complaints
Category: Huntleigh Securities Corp
- Financial Advisor Scott Wolfrum (Huntleigh Securities Corporation) Customer Complaints
Category: IBN Financial Services
- Financial Advisor Peter Kalmus (IBN Financial Services, Inc.) Customer Complaints
Category: iCap Northwest Opportunity Fund, LLC
- Wolper Law Firm, P.A. is Pursuing Recovery Options for Investors with Losses in iCap Northwest Opportunity Fund, LLC
Category: ICBA Securities
- Financial Advisor Wray Rodgers Barred by FINRA Amid Allegations of Violating Firm Policy
Category: IFS Securities
- Financial Advisor Robert Henderson (IFS Securities) Customer Complaints
- Financial Advisor Keith Wakefield (IFS Capital Markets, LLC) Customer Complaints
Category: Independent Financial Group
- Financial Adviser Jay Eng Suspended by FINRA
- Financial Advisor Jerry Tuma (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Donovan Kelly (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Brett Hartvigson (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Tatyana Bunich (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Kenneth Guerra (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Shimshon Plotkin (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Wenjinn James Chang (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor Robert Jamison II (Independent Financial Group, LLC) Customer Complaints
- Financial Advisor John Pariser (Independent Financial Group, LLC) Customer Complaints
Category: Infinex Investments
- Financial Adviser Derek Malone Has Four Disclosed Customer Complaints
- Financial Adviser Eric J. Garcia Has Disclosed Two Customer Complaints
- Financial Advisor Susan Cruz (Cetera Investment Services, LLC) Customer Complaints
Category: Innovation Partners LLC
- Financial Adviser Daniel Beech Has Disclosed 13 Customer Complaints
Category: Insight Securities Inc
- Financial Advisor Carlos Legaspy (Insight Securities, Inc.) Customer Complaints
- Financial Advisor Carlos Legacy (Insight Securities, Inc.) Customer Complaints
Category: Insigneo Securities
- Financial Advisor Ariel Rivero (Insigneo Securities, LLC) Customer Complaints
- Financial Adviser Antoine Souma Resigns After FINRA Suspension
- Financial Advisor Lina Maria Garcia (Insigneo Securities, LLC) Customer Complaints
- Financial Advisor Felipe Henao (Insigneo Securities, LLC) Customer Complaints
Category: Integrity Brokerage LLC
- Financial Advisor Jan Earl Haynes (Integrity Brokerage Services, Inc.) Customer Complaints
- Financial Advisor Joshua Helmle (Integrity Brokerage, LLC) Customer Complaints
Category: International Assets Advisory
- Financial Advisor Damian Bell (International Assets Advisory, LLC) Customer Complaints
- Financial Advisor James Bashaw (International Assets Advisory, LLC) Customer Complaints
- Financial Advisor Bryce Plyer (Morgan Stanley) Customer Complaints
Category: Invest Financial Corp
- Financial Advisor Roger Kroeger (Invest Financial Corporation) Customer Complaints
- Financial Advisor Eric Stuckey (Invest Financial Corporation) Customer Complaints
Category: Investment Network, Inc.
- FINRA Barred Financial Advisor Vincent Pucciarelli Jr.
Category: Investment Planners
- FINRA Permanently Barred Financial Advisor James Parrelly
Category: Investor Education
- Wandering Financial Advisors
- Investment Loss Recovery Focus: Hedge Funds
- Common Types of Alternative Investments
- The New Regulation Best Interest Standard: How Does It Compare to the Fiduciary Standard?
- Learn How Due Diligence Regulations Protect Investors Seeking Private Placement Transactions
- FINRA Reports That Margin Levels in Customer Accounts Have Reached All-Time Highs of More Than $722 Billion
- How to Stop Stock Loss Caused by Your Broker-Dealer
- Top 3 Reasons to Check Your Stockbroker
- What Is Time and Price Discretion?
- Why You Need to Check Your Broker’s CRD
- How to Recognize Signs of Stockbroker Misconduct
- Recovering Illiquid Alternative Investment Losses after the Coronavirus Market Crash
- Caught By Surprise Or Poor Planning?—Recovering Investment Losses From The Recent Stock Market Crash
- Stockbroker Scams to Watch Out For
- Securities-Backed Lending: What Are the Risks?
- How to File a Complaint against a Stockbroker
- INVESTOR ALERT—Ten Of The Worst Performing Mutual Funds Of 2018
- Category: Alternative Investments
  - Things to Know About Alternative Investments
  - Financial Advisor Robert Giannchiglia (USA Financial Securities Corp.) Customer Complaints
- Category: Annuities
  - Variable Annuities Come At A High Cost To Investors
- Category: Annuity
- Category: Arbitration
  - The Pros and Cons of Settling Vs. Pursuing Litigation for Investment Losses
  - How Do I Recover My Investment Losses?
- Category: Breach of Fiduciary Duty
  - Financial Advisor Jim Rhodes (Rhodes Securities, Inc.) Customer Complaints
  - Financial Advisor Jon Schmidhammer (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
  - What Are The Common Signs Of Investment Fraud, Negligence Or Other Misconduct?
  - Financial Advisor Steven Pagartanis (Cadaret, Grant & Co., Inc.) Customer Complaints
  - Financial Advisor Steven Knuttila (Capital Financial Services) Customer Complaints
  - Financial Advisor Oscar Francis (MML Investors Services, LLC) Customer Complaints
- Category: Broker Discipline
  - Financial Advisor Ronald Blascyzk (Wells Fargo Clearing Services, LLC) Customer Complaints
  - Financial Advisor William Greenfield (TFS Securities, Inc.) Customer Complaints
  - Financial Advisor Brian Eyster (O.N. Equity Sales Company and Fortune Financial Services, Inc.) Customer Complaints
  - Financial Advisor Wills Henriquez (Network 1 Financial Securities) Customer Complaints
  - Financial Advisor Andrew Lowe (Berthel, Fisher & Company Financial Services, Inc.) Customer Complaints
  - Financial Advisor Brad Lawing (Cambridge Investment Research) Customer Complaints
  - Financial Advisor Alvery Bartlett (Arete Wealth Management) Customer Complaints
  - Financial Advisor Michael Mathias (Summit Brokerage Services) Customer Complaints
  - Financial Advisor Sean Alan Brady (First Allied Securities, Inc.) Customer Complaints
- Category: Can I Sue My Financial Advisor
  - Can I Sue My Financial Advisor?
- Category: Conservation Easement
  - Conservation Easement Lawsuits: Recovery Options For Investors In Conservation Easements
- Category: Cryptocurrency
- Category: Distressed Securities
  - How to Recover Losses from Distressed Securities
- Category: Document Forgery
- Category: Excessive Trading/Churning
  - Churning and Excessive Trading Erode the Profitability of an Investment Account
  - Financial Advisor Michael Solomon (Maxim Group) Customer Complaints
- Category: Exchange Trade Funds
- Category: Expungement
  - Financial Advisor Expungement: Past, Present & Future
- Category: Failure to Supervise
- Category: FINRA
  - Alternatives to FINRA Arbitration
  - Brokerage Firms Have a Regulatory Obligation to Supervise Financial Advisors
- Category: Forgery
  - Financial Advisor John Schmidt (Wells Fargo Clearing Services, LLC) Customer Complaints
- Category: Fraud
  - Common Types of Investment Losses and How to Recover Them Through Securities Litigation
  - Fraud in the Financial Sector
  - Are Stockbroker Mistakes Considered Fraud?
  - How to Prove Broker Fraud
  - BREAKING NEWS—SEC Charges Analyst, John Paulsen, With Aiding And Abetting Securities Fraud, By Participating In A “Pay To Play” Scheme
- Category: How Do I Sue My Financial Advisor
- Category: Junk Bonds
  - Junk Bonds
- Category: Misappropriation
  - How to Reduce Your Chances of Broker Theft Out of Your Customer Accounts
- Category: Misrepresentation
  - Financial Advisor Joel Kamphuis (Summit Brokerage Services) Customer Complaints
  - Financial Advisor James Flynn (Voya Financial Advisors, Inc.) Customer Complaints
- Category: Mutual Funds
  - Mutual Fund Misconduct: Here’s 3 Things You Need to Know
  - Financial Advisor Geoffrey Turner (BB&T Securites, LLC) Customer Complaints
- Category: Negligence
- Category: Overconcentration
- Category: Ponzi Scheme
  - How to Know if You’re a Victim of a Ponzi Scheme
  - Financial Advisor Frank Dietrich (Quest Capital Strategies) Customer Complaints
  - INVESTOR WARNING–SEC Shuts Down $102 Million Ponzi Scheme Orchestrated By Bad Actors From NY, FL And Ohio
- Category: Promissory Notes
- Category: Sanction
- Category: Selling Away
  - Financial Advisor Howard Utz (Hazard & Siegel) Customer Complaints
- Category: Structured Products
  - Recovery Options For Investors Who Suffered Losses In Auto-Callable Structured Notes
  - Investors In Market Linked Notes And Steepener Notes Continue To Experience Loss Of Principal And Income
  - Investors In Market Linked CDs Continue To Experience Loss Of Principal And Income
  - Do You Have Losses In Adjustable Rate Certificates Of Deposit? The Wolper Law Firm, P.A. Is Pursuing Recovery Options On Behalf Of Clients
- Category: Theft
- Category: Unauthorized Trading
- Category: Unregistered Securities
- Category: Unsuitability
  - Understanding Unsuitable Investments
- Category: Unsuitable
  - Financial Advisor Christopher Hartman Facing Allegations for Unsuitable REITs, Investment Loss
Category: Investors Capital Corp
- Financial Advisor Nina Jessee (Investors Capital Corp) Customer Complaints
Category: Janney Montgomery Scott
- Financial Advisor Charles Euler (Janney Montgomery Scott LLC) Customer Complaints
- Financial Advisor John Joseph Cahill (Janney Montgomery Scott LLC) Customer Complaints
- Financial Advisor Steven Eric Dolgin (Janney Montgomery Scott LLC) Customer Complaints
- Financial Advisor Scott Palmer (Janney Montgomery Scott LLC) Customer Complaints
- Financial Advisor Christopher Sinkula (Janney Montgomery Scott LLC) Customer Complaints
Category: Janssen Partners LLC
- Financial Advisor Peter K Janssen Has Four Disclosed Customer Complaints
Category: Jeffries
- Financial Advisor Theodore Serure Suspended by FINRA For Four Months
Category: John W. Loofbourrow
- Financial Advisor Craig A. Zabala (John W. Loofbourrow Associates, Inc.) Customer Complaints
Category: Joseph Gunnar & Co
- Financial Advisor Anthony Sica (Joseph Gunnar & Co., LLC.) Customer Complaints
Category: Joseph Stone Capital
- Financial Advisor Leonid Yurovsky Suspended by FINRA
- Joseph Stone Capital Sanctioned by FINRA For Excessive Trading
- Financial Advisor Douglas J. Rosenberg (Joseph Stone Capital, LLC) Customer Complaints
- Financial Advisor Sebastian Wyczawski (VCS Venture Securities) Customer Complaints
- Financial Advisor Michael J. May (VCS Venture Securities) Customer Complaints
- Financial Advisor Nigel James (Joseph Stone Capital, LLC) Customer Complaints
- Financial Advisor Joseph Ambrosole (Joseph Stone Capital, LLC) Customer Complaints
- Financial Advisor Travis Lippmann (Joseph Stone Capital, LLC) Customer Complaints
- Financial Advisor Erik Pica (Joseph Stone Capital, LLC) Customer Complaints
- Financial Advisor Danard Brown (Joseph Stone Capital, LLC) Customer Complaints
Category: JP Morgan Securities
- Financial Advisor Robert A. Douglass (Arkadios Capital) Customer Complaints
- Financial Advisor Steven Foote (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Jasmit Singh (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Paul Zakhary (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Eric Silvestre (Western International Securities) Customer Complaints
- Financial Advisor Robert Pachciarz (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Daniel Soliman (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Jeffrey Mcaleney (J.P. Morgan Securities, LLC) Customer Complaints
- Financial Advisor Leona Lynn Parsons (J.P. Morgan Securities, LLC) Customer Complaints
Category: JP Turner & Co.
Category: JRL Capital Corp
- Financial Advisor Hillard Rest Discloses Two Customer Complaints
Category: JW Cole FInancial
- Financial Advisor Allyson Trantum Disclosed Settled Customer Complaint
Category: Kalos Capital
- Financial Advisor Andrew Topka Has Six Disclosed Customer Complaints
- Financial Advisor Christopher J. Shaw (Pruco Securities, LLC) Customer Complaints
- Financial Advisor Joseph Roop (Dempsey Lord Smith, LLC.) Customer Complaints
- Financial Advisor Gary Imel (Kalos Capital, Inc.) Customer Complaints
- Financial Advisor William Sines (Kalos Capital, Inc.) Customer Complaints
- Financial Advisor Darren Kubiak (Kalos Capital, Inc.) Customer Complaints
- Financial Advisor Joshua Stivers (Kalos Capital, Inc.) Customer Complaints
- Financial Advisor Eric Weschke (Kalos Capital, Inc.) Customer Complaints
Category: Kestra Investment Services
- Financial Advisor Denise Sobczak Suspended by FINRA
- Financial Advisor Herman Khan (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor Jerry Korchak (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor Donald Padilla (Kestra InvestmentServices, LLC) Customer Complaints
- Financial Advisor James Daughtry (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor Michael Thomas Lee (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor John W Spach (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor Mitchell Walk (Kestra Investment Services, LLC) Customer Complaints
Category: Kingsbury Capital
- Financial Advisor Michael Jason Collins (Kingsbury Capital, Inc.) Customer Complaints
Category: Kingswood Capital Partners
- Financial Advisor Eric Felsenfeld (Kingswood Capital Partners) Customer Complaints
Category: Kovack Securities
- Financial Advisor Andrew Scheirer (Kovack Securities) Customer Complaints
- Financial Advisor Paul Schwan (Kovack Securities) Customer Complaints
Category: Laidlaw & Co.
- FINRA Suspends, Fines Former Broker Edward Short For Violating Regulation Best Interest
- Financial Advisor Joseph Fedorko (Laidlaw & company LTD) Customer Complaints
- Financial Advisor Andrew Justin Grant (Laidlaw & company LTD) Customer Complaints
- Financial Advisor Peter Viglione (Laidlaw & company LTD) Customer Complaints
Category: Landolt Securities
- Financial Advisor Bret Schaefer has Eight Disclosed Customer Complaints
- Financial Adviser Anthony Liddle Barred By FINRA After Theft Allegations
- Financial Advisor Jason Seurer Discloses GWG Holdings L-Bond Complaint
- Financial Advisor Anthony Cottone (Landolt Securities, Inc.) Customer Complaints
Category: Lebenthal Financial Services
- Financial Advisor Robert Nyilas (Lebenthal Financial Services, Inc.) Customer Complaints
Category: Legacy Financial Services
Category: Legend Equities Corporation
- Financial Advisor Ronald Giovino (Legend Equities Corporation) Customer Complaints
Category: Liberty Partners Financial Services
- Financial Advisor John F. Davenport (Liberty Partners Financial Services, LLC) Customer Complaints
- Financial Advisor Eric Erb (Liberty Partners Financial Services, LLC) Customer Complaints
Category: Lifemark Securities Corp
- U.S. Securities & Exchange Commission Investigates Financial Advisor Geoffrey Walterstorff
- Financial Adviser Patrick Durst Has Two Disclosed Customer Complaints
Category: Lighthouse Capital Group
- The Wolper Law Firm, P.A. Files $1 Million FINRA Arbitration Claim Against Lighthouse Capital Group Based On The Recommendations Of Financial Advisors, Rena Morris And Stephen Holt
Category: Lightstone Real Estate Income Trust Inc
- Recover Your Investment Losses In Lightstone Real Estate Income Trust, Inc.
Category: Lincoln Douglas Investments
- Financial Advisor Herbert G. Frey (Lincoln Douglas Investments, LLC) Customer Complaints
Category: Lincoln Financial Advisors
- Financial Advisor Peter David Maller (Lincoln Financial Advisors Corp.) Customer Complaints
- Financial Advisor Philip Moshier (Lincoln Financial Advisors Corp.) Customer Complaints
Category: Lincoln Financial Securities Corp
- Financial Advisor Barry Horowitz (Lincoln Financial Securities Corporation) Customer Complaints
Category: Lincoln Investment Planning
- Financial Advisor Lester W. Burroughs (Lincoln Investment) Customer Complaints
Category: Lion Street Financial
- Financial Advisor Kimberley Schkade-Hill (Lion Street Financial, LLC) Customer Complaints
Category: LJM Preservation Fund
Category: Lombard Securities Corp
- Financial Advisor John Cutshall (Lombard Securities Corp.) Customer Complaints
Category: Lone Peak Advisors, LLC
- FINRA is Investigating Previously Registered Broker Travis Hudak
Category: LPL Financial
- Financial Advisor John A. Dougherty Terminated by LPL Financial
- Financial Adviser Bradley Wastler Suspended by FINRA After Allegations of Forgery
- Financial Adviser Christopher J. Carpenter Barred by FINRA
- Financial Advisor Eileen Cure Has Two Disclosed Customer Complaints
- Financial Adviser Robert Li Has Three Disclosed Customer Complaints
- Financial Advisor Eileen Cure Has Two Disclosed Customer Complaints
- Former Financial Advisor Bradley Goodbred The Subject of An SEC Enforcement Action For Theft
- Financial Advisor Christopher Wright Has Four Disclosed Customer Complaints
- Financial Advisor Kevin McCallum (LPL Financial LLC) Customer Complaints
- Financial Advisor Michael Barranco (LPL Financial LLC) Customer Complaints
- Financial Advisor Michael Mandel (LPL Financial LLC) Customer Complaints
- Financial Advisor Howell Ferguson (LPL Financial LLC) Customer Complaints
- Financial Advisor Scott Bremus (LPL Financial LLC) Customer Complaints
- Financial Advisor Lee Nordstrom (LPL Financial LLC) Customer Complaints
- Financial Advisor Eric Hollifield (LPL Financial LLC) Customer Complaints
- Financial Advisor Nicholas Travascio (LPL Financial LLC) Customer Complaints
- Financial Advisor Paul McGonigle (LPL Financial LLC) Customer Complaints
- Financial Advisor Mario Rivero, Jr. (LPL Financial LLC) Customer Complaints
- Financial Advisor James Couture (LPL Financial LLC) Customer Complaints
- Financial Advisor Arthur Obermeier (LPL Financial LLC) Customer Complaints
- Financial Advisor Maziar Monshi (IFP Securities, LLC) Customer Complaints
- Financial Advisor Michael Tavel (LPL Financial LLC) Customer Complaints
- Financial Advisor David Taddeo (LPL Financial LLC) Customer Complaints
- Financial Advisor Kevin Fretz (LPL Financial LLC) Customer Complaints
- Financial Advisor Norman Batansky (Peak Brokerage Services, LLC) Customer Complaints
- Financial Advisor Matthew Clason (LPL Financial LLC) Customer Complaints
- Financial Advisor James Rapisarda (LPL Financial LLC) Customer Complaints
- Financial Advisor Samuel Izaguirre (LPL Financial LLC) Customer Complaints
- Financial Advisor Cecil Ross (LPL Financial LLC) Customer Complaints
- Financial Advisor Michael Severance (National Planning Corp.) Customer Complaints
- Financial Advisor Louis Mark Miller (LPL Financial LLC) Customer Complaints
- Financial Advisor Adam Lunceford (LPL Financial LLC) Customer Complaints
- Financial Advisor Christopher Neil Watkins (LPL Financial LLC) Customer Complaints
- Financial Advisor Jeffrey Vasiloff (LPL Financial LLC) Customer Complaints
- Financial Advisor Kerry Hoffman (LPL Financial LLC) Customer Complaints
- Financial Advisor James Thomas Booth (LPL Financial LLC) Customer Complaints
- Financial Advisor Philip J. Nalesnik (LPL Financial LLC) Customer Complaints
- Financial Advisor James Bylenga (LPL Financial LLC) Customer Complaints
- Financial Advisor Scott Klor (LPL Financial LLC) Customer Complaints
- Financial Advisor Cheryl Ann Stallings (LPL Financial LLC) Customer Complaints
- Financial Advisor Donald Woods (LPL Financial LLC) Customer Complaints
- Financial Advisor Steven Crawford (LPL Financial LLC) Customer Complaints
- Financial Advisor Richard Yada (LPL Financial LLC) Customer Complaints
- Financial Advisor Scott Douglas Williams (LPL Financial LLC) Customer Complaints
- Financial Advisor Phillip Boyd (LPL Financial LLC) Customer Complaints
- Financial Advisor Sanders Spangler (LPL Financial LLC) Customer Complaints
- Financial Advisor Suhail Khan (LPL Financial LLC) Customer Complaints
- Financial Advisor Paul Avila (LPL Financial LLC) Customer Complaints
Category: Madison Avenue Securities
- Financial Adviser Steven Netzel Suspended by FINRA
- Financial Advisor Ann Werts Has Three Disclosed Customer Complaints
- Financial Advisor Jeffrey Dixson (Madison Avenue Securities) Customer Complaints
- Financial Advisor Satya B. Shaw (Center Street Securities, Inc.) Customer Complaints
- Financial Advisor David Barber (Madison Avenue Securities) Customer Complaints
- Financial Advisor James Geake (Madison Avenue Securities) Customer Complaints
Category: Maloney Securities
- Broker Juliann Smith Has Three Disclosed Customer Complaints
- Financial Advisor Edward Balmes (Moloney Investment Advisory) Customer Complaints
- Financial Advisor Joseph John Weinrich (BB Graham & Co.) Customer Complaints
Category: Mass Mutual Investor Services
- Financial Advisor Timothy E. Johnson (Mass Mutual Investorrs Services) Customer Complaints
Category: Maxim Group
Category: McDonald Partners
- Financial Advisor Rita Mansour (McDonald Partners LLC) Customer Complaints
Category: McNally Financial Services
- Financial Advisor Mark Kemp (McNally Financial Services Corporation) Customer Complaints
- Financial Advisor Lawrence Goldstein (McNally Financial Services Corporation) Customer Complaints
- Financial Advisor Dennis M. Nakamura (McNally Financial Services Corporation) Customer Complaints
Category: Merrill Lynch
- Financial Advisor Jeffrey Kirkpatrick Suspended and Fined by FINRA
- Financial Advisor Ernest Frerking Barred by FINRA
- Merrill Lynch Sanctioned by FINRA For Lack of Supervision
- Financial Advisor Patrick Brown (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Merrill Lynch And Two Of Its Brokers, Kelly Feehrer And Scott Matthews, Sanctioned By FINRA For Unit Investment Trust Violations?
- Financial Advisor Tyler Delahunt (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Ryan Raskin (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor John Gatto (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Douglas Stopkey (Davenport & Company, LLC) Customer Complaints
- Financial Advisor Michael Calvin (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Forrest Jones (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Glenn Yarbrough (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Cynthia Perry (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Christopher Roumayeh (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Jacquin Fink (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Heather Peterson Weber (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Marcus Boggs (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Ma Rosa Linan Abrego (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Bernie Adair (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Peter Huffman (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Gregory P. Washington (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Jeffrey Smith (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Larry Crabtree (Wilbanks Securities) Customer Complaints
- Financial Advisor Robert Gerstein (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Thomas J. Buck (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Ben Dembla (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Christopher Hellman (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Michael Ahearn (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Hector Gonzalez (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Ethan De Naray (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Shaun Hayes (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Shakela Carter (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor John James (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Erik Littlejohn (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Christopher Hibbard (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Charles Kanahan (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
- Financial Advisor Craig Mardany (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints
Category: Michael Solomon
Category: Millstone Creek LLC
Category: MML Investors Services
- Financial Adviser Neil Nissen Discharged by MML Investors Services
- Financial Advisor Amanda Berry Has Six Disclosed Customer Complaints And Regulatory Infractions
- Financial Advisor Hector Flores (MML Investors Services, LLC) Customer Complaints
- Financial Advisor Robert Boyer III (MML Investors Services, LLC) Customer Complaints
- Financial Advisor Michael Nigro (MML Investors Services, LLC) Customer Complaints
- Financial Advisor Sudesh Jain (MML Investors Services, LLC) Customer Complaints
- Financial Advisor Charles Jonathan Evan (MML Investors Services, LLC) Customer Complaints
- FINRA Barred Financial Advisor, Alberto Sanchez, For Failing To Cooperate In An Investigation Regarding Selling Away
- Financial Advisor Patrick Rynn (MML Investors Services, LLC) Customer Complaints
Category: Moloney Securities Co.
- Financial Advisor Jeffrey Max Cohen (Moloney Securities Co., Inc.) Customer Complaints
Category: Money Concepts Capital Financial
- Financial Advisor Christopher Passero (Money Concepts Capital Corp) Customer Complaints
- Financial Advisor Anthony F. Hobson (Money Concepts Capital Corp) Customer Complaints
- Financial Advisor Ray Reece (Money Concepts Capital Corp) Customer Complaints
Category: Monmouth Capital Management
- Financial Advisor Jason Pintus Barred by FINRA
- Financial Advisor Caz Craffy Barred by FINRA
- Financial Advisor Alfonse Stazzone (Monmouth Capital Management, LLC) Customer Complaints
Category: Moors & Cabot
- Financial Advisor David Gray Dalton (Moors & Cabot, Inc.) Customer Complaints
- Financial Advisor Robert Clark (Moors & Cabot, Inc.) Customer Complaints
Category: Mora WM Securities
- Financial Advisor Paul David Weiss (Mora WM Securities) Customer Complaints
Category: Morgan Stanley
- Financial Advisor Jimmy Driggers is the Subject of a $4M Customer Dispute involving ‘Selling Away’
- Financial Advisor Lawrence Catena Discloses Two Customer Complaints
- Morgan Stanley Financial Adviser Ron Filoramo Discharged for Alleged Theft
- Financial Advisor Miche Jean Disclosed Two Month Suspension by FINRA
- Financial Advisor Chinyuan Chang Barred by FINRA For Alleged Theft
- Financial Advisor Luis Bonilla Has Six Disclosed Customer Complaints
- Financial Advisor Jimmy Yang Driggers Disclosed Four Customer Complaints
- Financial Advisor Doug McKelvey Barred by FINRA
- Financial Advisor Robert C. David Suspended by FINRA
- Financial Advisor Dana Timchenko Has Pending Customer Complaint Regarding Options
- Financial Advisor Evan Savarick Has Disclosed Two Customer Complaints
- Financial Advisor Stephen Takeda (Morgan Stanley) Customer Complaints
- Financial Advisor Anthony Gallea (Morgan Stanley) Customer Complaints
- Financial Advisor Shawn Good (Morgan Stanley) Customer Complaints
- Financial Advisor Robert David (Morgan Stanley) Customer Complaints
- Financial Advisor Elizabeth Layne (Morgan Stanley) Customer Complaints
- Financial Advisor Christopher McCaffrey (Morgan Stanley) Customer Complaints
- Financial Advisor Michael J. Wagner (Morgan Stanley) Customer Complaints
- Financial Advisor Shawn Burke (Morgan Stanley) Customer Complaints
- Financial Advisor Henry Chia-How Chang (Laidlaw & company LTD) Customer Complaints
- Financial Advisor Henry Chang (Morgan Stanley) Customer Complaints
- Financial Advisor Sumitro Pal (Morgan Stanley) Customer Complaints
- Financial Advisor Darryl Cohen (Morgan Stanley) Customer Complaints
- Financial Advisor Albert Dishner (Morgan Stanley) Customer Complaints
- Financial Advisor John A. Borsellino (Morgan Stanley) Customer Complaints
- Financial Advisor Kevin Gunnip (Morgan Stanley) Customer Complaints
- Financial Advisor Robert Brinckerhoff (Morgan Stanley) Customer Complaints
- Financial Advisor Michael Barry Carter (Morgan Stanley) Customer Complaints
- Financial Advisor Herbert Hafen (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Ken Kavanaugh (Morgan Stanley) Customer Complaints
- Financial Advisor Robert F. Montes (Morgan Stanley) Customer Complaints
- Financial Advisor Ron Willoughby (Morgan Stanley) Customer Complaints
- Financial Advisor Izhar Shefer (Morgan Stanley) Customer Complaints
- Financial Advisor James Mewhinny (Morgan Stanley) Customer Complaints
- Financial Advisor Richard Juracka (Morgan Stanley) Customer Complaints
- Financial Advisor William Dumchus (Morgan Stanley) Customer Complaints
- Financial Advisor Alberto Castaner (Morgan Stanley) Customer Complaints
- Financial Advisor John Halsey Buck III (Morgan Stanley) Customer Complaints
- Financial Advisor Lloyd Layton (Morgan Stanley) Customer Complaints
- Financial Advisor Michael Fitz-Gerald (Morgan Stanley) Customer Complaints
- Financial Advisor Barry Connell (Morgan Stanley) Customer Complaints
- Financial Advisor Barry Garapedian (Morgan Stanley) Customer Complaints
Category: MSI Financial Services
- Financial Advisor Benjamin Louder, Jr. (MSI Financial Services, Inc.) Customer Complaints
Category: Mutual of Omaha Investor Services
- Financial Advisor Thomas Barton III (Mutual of Omaha Investor Services, Inc.) Customer Complaints
- Financial Advisor Edward Matthes (Mutual of Omaha Investor Services, Inc.) Customer Complaints
Category: National Planning Corp
- Financial Advisor Dexter Thomas (National Planning Corp.) Customer Complaints
Category: National Realty Investment Advisors
- New Jersey Bureau of Securities Files An Enforcement Action against National Realty Investment Advisors
Category: National Securities Corp.
- National Securities Corp Sanctioned by FINRA For Unlawful Sales Of GPB Capital
- Financial Advisor Christopher Bond (National Securities Corp.) Customer Complaints
- Financial Advisor Nicholas Kraiko (National Securities Corp.) Customer Complaints
- Financial Advisor Christopher Ortiz (National Securities Corp.) Customer Complaints
- Financial Advisor Shaun Stein (National Securities Corp.) Customer Complaints
- Financial Advisor Willard Pugh (National Securities Corp.) Customer Complaints
- Financial Advisor Rushdi Zalatimo (National Securities Corp.) Customer Complaints
- Financial Advisor Kevin Dziubela (National Securities Corp.) Customer Complaints
- Financial Advisor Viqas Akhtar (National Securities Corp.) Customer Complaints
- Financial Advisor Troy Goldberg (National Securities Corp.) Customer Complaints
- Financial Advisor Nick Son (National Securities Corp.) Customer Complaints
- Financial Advisor Steven Jennings (National Securities Corp.) Customer Complaints
- Financial Advisor Michael Burkhoff (National Securities Corp.) Customer Complaints
- Financial Advisor Frank Avallone (National Securities Corp.) Customer Complaints
- Financial Advisor Rick Davidson (National Securities Corp.) Customer Complaints
- Financial Advisor Mark Cline (National Securities Corp.) Customer Complaints
- Financial Advisor Jason Hawke (National Securities Corp.) Customer Complaints
- Financial Advisor William Braun (National Securities Corp.) Customer Complaints
- Financial Advisor Mohamed Yassin (National Securities Corp.) Customer Complaints
- Financial Advisor Kevin Wilson (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Ronald Rothchild (National Securities Corp.) Customer Complaints
- Financial Advisor Leonard McAbee (National Securities Corp.) Customer Complaints
- Financial Advisor Kyle Harrington (National Securities Corp.) Customer Complaints
- Financial Advisor Christopher Kane (National Securities Corp.) Customer Complaints
Category: NBC Securities Inc
- Financial Advisor Marcello Lattuca (NBC Securities, Inc.) Customer Complaints
Category: Network 1 Financial Securities
- Financial Advisor Michael Molinaro Sanctioned by FINRA
- Financial Advisor Kumail Abbas Has Three Customer Complaints
- Financial Advisor Christopher Polinaire Suspended by FINRA
- Charles Malico Suspended by FINRA
- FINRA Initiates Investigation of Christopher Polinaire For Alleged Excessive Trading
- Financial Advisor Eric Nicolassy (Network 1 Financial Securities) Customer Complaints
- Financial Advisor Patrick Teutonico (Network 1 Financial Securities) Customer Complaints
- Financial Advisor Raymond A. Thomas (Network 1 Financial Securities) Customer Complaints
- Financial Advisor John Angelone (Network 1 Financial Securities) Customer Complaints
Category: Newbridge Securities
- Financial Advisor John Forrester, Jr. Has Five Disclosed Customer Complaints
- Financial Adviser Ivan Gefen has Eleven Disclosed Customer Complaints
- Financial Advisor Marshall Isaccson (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Kerri Jamison (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Tariq Sales (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Michael R. Greenfield (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Sean Waters (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor David Fagenson (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Xavier Patino (Newbridge Securities Corp.) Customer Complaints
- Financial Advisor Dennis Hayes (Newbridge Securities Corp.) Customer Complaints
Category: NEXT Financial Group
- Financial Advisor Brian Radoo (NEXT Financial Group, Inc.) Customer Complaints
- Financial Advisor Steven Zerbarini (NEXT Financial Group, Inc.) Customer Complaints
- Financial Advisor Douglas Simanski (NEXT Financial Group, Inc.) Customer Complaints
- Financial Advisor Charles Doraine (NEXT Financial Group, Inc.) Customer Complaints
- Financial Advisor Stephen Williams (NEXT Financial Group, Inc.) Customer Complaints
Category: Ni Advisors
- Financial Advisor Shirley Wong Has GWG L-Bonds Complaint
- Complaint Pending Against Yvonne Zhong After Sale of GWG L-Bonds
Category: Noble Capital Markets
- Financial Advisor Joseph Hain (Noble Capital Markets, Inc.) Customer Complaints
Category: Northstar Financial Services
- Financial Advisor Maria Calcena (Infinex Investments, Inc.) Customer Complaints
- Financial Advisor Northstar Financial Services (Greg Lindberg’s Global Bankers Insurance Group) Customer Complaints
- Financial Advisor Robin Platt (Hancock Whitney Investment Services, Inc.) Customer Complaints
Category: Northwestern Mutual Investment Services, LLC
- Financial Advisor Timothy Claypool (Northwestern Mutual Investment Services, LLC) Customer Complaints
- Financial Advisor Scott Niekamp (Northwestern Mutual Investment Services, LLC) Customer Complaints
- Financial Advisor Manish Shah (Northwestern Mutual Investment Services, LLC) Customer Complaints
- Financial Advisor Meaghan Johnson (Northwestern Mutual Investment Services, LLC) Customer Complaints
- Financial Advisor Donnell Bowen (Northwestern Mutual Investment Services, LLC) Customer Complaints
Category: NPB Financial Group
- Financial Advisor Cynthia Cowden (NPB Financial Group, LLC) Customer Complaints
Category: NY Life Securities
- Financial Advisor Marlyn McClain (NY Life Securities) Customer Complaints
- Financial Advisor Esmeralda Espinoza (NY Life Securities) Customer Complaints
- Financial Advisor Kyle Wittgren (NY Life Securities) Customer Complaints
- Financial Advisor Narith Long (NY Life Securities) Customer Complaints
- Financial Advisor Daniel Jossen (NY Life Securities) Customer Complaints
- Financial Advisor William Humbarger (NY Life Securities) Customer Complaints
- Financial Advisor Felix Chu (NY Life Securities) Customer Complaints
- Financial Advisor William Hite (NY Life Securities) Customer Complaints
- Financial Advisor Gabriel Hynes (NY Life Securities) Customer Complaints
- Financial Advisor David Kendrick (NY Life Securities) Customer Complaints
- Financial Advisor Timothy R. Millis (NY Life Securities) Customer Complaints
- Financial Advisor George Shadie (NY Life Securities) Customer Complaints
- Financial Advisor Ashley Charles Woodard (NY Life Securities) Customer Complaints
- Financial Advisor Judith A Johnston (NY Life Securities) Customer Complaints
- Financial Advisor Kari Bracy (NY Life Securities) Customer Complaints
- Financial Advisor David Colflesh (York Life Securities) Customer Complaints
- Financial Advisor Partho Ghosh (NY Life Securities) Customer Complaints
- Financial Advisor Joel Flaningan (NY Life Securities) Customer Complaints
Category: O.N. Equity Sales
- Financial Advisor Kevin Meadows (Cape Securities) Customer Complaints
Category: Oppenheimer & Co.
- Financial Advisor David Feigeles Disclosed Two Customer Complaints
- Financial Advisor Jeffrey Warren (Oppenheimer & Co., Inc.) Customer Complaints
- Financial Advisor Ivan Shore (Oppenheimer & Co., Inc.) Customer Complaints
- Financial Advisor Matthew Platnico (Allied Millennial Partners, LLC) Customer Complaints
- Financial Advisor Frederick Levine (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor David Krumrey (Oppenheimer & Co., Inc.) Customer Complaints
- Financial Advisor Timothy Atyeo (Oppenheimer & Co., Inc.) Customer Complaints
- Financial Advisor Demos Argyros (Oppenheimer & Co., Inc.) Customer Complaints
- Financial Advisor Paul Deangelo (Oppenheimer & Co., Inc.) Customer Complaints
Category: Packerland Brokerage Services
- Financial Advisor Edward Davig (Packerland Brokerage Services) Customer Complaints
Category: Palladium Capital Advisors LLC
- Financial Advisor Abraham Biderman (Palladium Capital Advisors, LLC) Customer Complaints
Category: Park Avenue Securities
- Forgery Allegations Pending Against Financial Advisor Anthony Megaro
- Financial Advisor John T. Alexander (Park Avenue Securities LLC) Customer Complaints
Category: Parking REIT
- Financial Advisor Michael Shustek (MVP Real Advisors, LLC) Customer Complaints
Category: Parkland Securities LLC
- Financial Advisor Keith Ashley (Parkland Securities, LLC) Customer Complaints
Category: Paulson Investment Company
- Financial Advisor Michael Nixon (Paulson Investment Company, LLC) Customer Complaints
- Financial Advisor Matthew D. Albers (Paulson Investment Company, LLC) Customer Complaints
Category: Pay to Play Scheme
Category: Peachcap Securities
- Financial Advisor John Mateyko (Peachcap Securities, Inc.) Customer Complaints
- Financial Advisor Aaron Brodt (Peachcap Securities, Inc.) Customer Complaints
Category: PetroRock Mineral Holdings, LLC
- Wolper Law Firm, PA Expands Its Investigation and Representation of Clients Who Lost their Investment in Resolute Capital Partners, LLC and PetroRock Mineral Holdings, LLC
Category: PFS Investments
- Wolper Law Firm is Investigating Allegations of Misconduct Against Financial Advisor Sean Fields
- FINRA Barred Financial Advisor Desiderio Torrez
- Former Broker Steven Hirata Barred by FINRA After Allegations of Selling Away
- Financial Advisor Igor Peter Kislitsa (PFS Investments, Inc.) Customer Complaints
- Financial Advisor Jeffrey Dampf (PFS Investments, Inc.) Customer Complaints
- Financial Advisor Derrick Trussell (PFS Investments, Inc.) Customer Complaints
- Financial Advisor Daniel Winger (PFS Investments, Inc.) Customer Complaints
Category: PHX Financial
- Financial Advisor Jason J. Walsh Has Three Disclosed Customer Complaints
- Financial Advisor Serge Parakhnevich (PHX Financial, Inc) Customer Complaints
- Financial Advisor Steve Baptist (PHX Financial, Inc.) Customer Complaints
Category: Planmember Securities Corp
- Financial Advisor David Scholl (Planmember Securities Corp.) Customer Complaints
Category: PNC Investments LLC
- Financial Advisor Christine Memet (PNC Investments, LLC) Customer Complaints
Category: Portfolio Advisors Alliance
- Financial Advisor Craig L. Siegel (Portfolio Advisors Alliance, LLC) Customer Complaints
Category: Precision Securities
- Financial Advisor Michael Blaszczyk (International Assets Advisory, LLC) Customer Complaints
Category: Presidential Brokerage
- Financial Advisor Gregory J. Williams (Presidential Brokerage) Customer Complaints
Category: Primerica Advisors
Category: Principal Securities
- Financial Advisor Mark Gelbman (Kestra Investment Services, LLC) Customer Complaints
- Financial Advisor Christopher Hildebrandt (Principal Securities, Inc.) Customer Complaints
Category: Private Client Services
- Financial Advisor Steven Vander Velde (Private Client Services, LLC) Customer Complaints
- Financial Advisor Michael Iannarino (Private Client Services, LLC) Customer Complaints
Category: Prospera Financial Services
- Financial Adviser Michael Trethewey Sanctioned by the State of Massachusetts
Category: Pruco Securities
- Financial Advisor Lee Diedrich Suspended by FINRA
- Financial Advisor Jeffrey Weiner (Pruco Securities, LLC) Customer Complaints
- Financial Advisor Alexis Cooke (Pruco Securities, LLC) Customer Complaints
- Financial Advisor Robert Luley Jr. (Pruco Securities, LLC) Customer Complaints
- Financial Advisor Matthew Muratori (Pruco Securities, LLC) Customer Complaints
- Financial Advisor Michael Arteca (Pruco Securities, LLC) Customer Complaints
Category: Puerto Rico
Category: Puerto Rico Bonds
Category: Purshe Kaplan Sterling
- Financial Advisor Lee Taylor (Purshe Kaplan Sterling Investments) Customer Complaints
- Financial Advisor Gopi Vungarala (Purshe Kaplan Sterling Investments) Customer Complaints
Category: Quest Capital Strategies
Category: R.F. Lafferty & Co
- Financial Advisor Jay Clint Tomlinson (R.F. Lafferty & Co., Inc.) Customer Complaints
Category: R.M. Stark Financial
- Financial Advisor Thomas Marino (R.M. Stark & Co.) Customer Complaints
Category: Raymond James
- Financial Advisor Jermaine Benjamin Accused Of Theft From A Client Account
- Financial Advisor Guilford Nergard (San Blas Securities, LLC) Customer Complaints
- Financial Advisor Alberto Valdes (Citigroup Global Markets) Customer Complaints
- Financial Advisor Jeffrey Drost (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Timothy Bartelt (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Ricardo Armijo (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Paul Stetter (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Vonna Kay Husby (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Joseph Woitkoski (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Douglas Gildenmeister (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Stuart B. Nichols (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Stefan Pastor (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Eldridge F. Parks (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Frederick Stow (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor John Wyshak (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Gregory Lane (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Joseph J Esposito (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Robert Sean Howard (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor William Council (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Robert Clayson (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Stephen Murray (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Lynne Faust (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Taek Chong (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Barry Wold (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor James Edward Lyons (Raymond James Financial Services, Inc.) Customer Complaints
Category: Raymond James & Associates Inc
- Raymond Sardina Has Disclosed $1.5 Million Customer Complaint
Category: RBC Capital Markets
- Financial Advisor Paul Koch (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Brian Wurdemann (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Gregory Dudzik (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Christopher Phillips (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Joseph Ljong Chu (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Joseph Chu (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Paul N. Gershon (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Thomas Lee Johnson (RBC Capital Markets, LLC) Customer Complaints
- Financial Advisor Cheryl George (RBC Capital Markets, LLC) Customer Complaints
Category: Reid & Rudiger
- Financial Advisor Clifford Reid (Reid & Rudiger LLC) Customer Complaints
- Financial Advisor Edward Joseph Rudiger, Jr. (Reid & Rudiger LLC) Customer Complaints
- Financial Advisor Elvis Parkes (Reid & Rudiger LLC) Customer Complaints
Category: REIT
- Recover Your Losses In Business Development Corporation of America (BDCA)
- Recent Non-Traded REIT Announcements Signal Trouble on the Horizon for Investors
- Recovery Options For Investors With Losses In The Sierra Income Business Development Company
- Recovering Your Investment Losses In Non-Traded Real Estate Investment Trusts And Business Development Companies
- What Is the True Value of My Non-Traded Real Estate Investment Trust?
- INVESTOR ALERT—How Can I Recover My Losses In The United Development Funding REIT
- Financial Advisor George Oldoerp (H. Beck, Inc.) Customer Complaints
Category: Resolute Capital Partners, LLC
Category: Rhodes Securities
- Financial Advisor Jim Rhodes and Marilyn Zehntner (Rhodes Securities, Inc.) Customer Complaints
Category: Royal Alliance
- Financial Advisor Mark E. Young (Royal Alliance Associates, Inc.) Customer Complaints
- Financial Advisor John Swon IV (Royal Alliance Associates, Inc.) Customer Complaints
- Financial Advisor Ryan T. Fleming (Royal Alliance Associates, Inc.) Customer Complaints
- Financial Advisor Les Barber, Jr. (Royal Alliance Associates, Inc.) Customer Complaints
- Financial Advisor Gary Ginsberg (Ameriprise Financial Services, LLC) Customer Complaints
- Financial Advisor Matthew Crafa (Gateway Investments) Customer Complaints
- Financial Advisor Gregory Hill (Royal Alliance Associates, Inc.) Customer Complaints
- Financial Advisor Kimberly Pine Kitts (Royal Alliance Associates, Inc.) Customer Complaints
Category: Royal Securities Company
- Financial Advisor Thomas C. Oakes (Royal Securitries Company) Customer Complaints
Category: SA Stone
- Financial Adviser Chad Koehn Fined & Suspended by FINRA
- Financial Advisor Bradley Lay (S.A. Stone Wealth Management) Customer Complaints
Category: Sagepoint Financial, Inc.
- Financial Advisor Cynthia Komarek (Sagepoint Financial, Inc.) Customer Complaints
- Financial Advisor Gary Bowman (Sagepoint Financial, Inc.) Customer Complaints
- Financial Advisor Grant Birkley (Sagepoint Financial, Inc.) Customer Complaints
- Financial Advisor Troy Baily (Sagepoint Financial, Inc.) Customer Complaints
- Financial Advisor Scot Fairchild (Lucia Securities, LLC) Customer Complaints
- Financial Advisor Timothy Jan Vanlohuizen (Sagepoint Financial, Inc.) Customer Complaints
- Financial Advisor Christopher Bice (Sagepoint Financial, Inc.) Customer Complaints
Category: Salomon Whitney Financial
- Financial Advisor Douglas Leone (Salomon Whitney Financial) Customer Complaints
Category: Sandlapper Securities
- Financial Advisor Kyusun “Kenny” Kim (Sandlapper Securities) Customer Complaints
- Financial Advisor Mariondy Fernandez (Santander Securities, LLC) Customer Complaints
- Financial Advisor Kenneth Bolton (Sandlapper Securities) Customer Complaints
- Financial Advisor Trevor Gordon (Raymond James Financial Services, Inc.) Customer Complaints
- Financial Advisor Austin Dutton (Sandlapper Securities) Customer Complaints
- Financial Advisor Anthony Diaz (Sandlapper Securities) Customer Complaints
Category: Sands Brothers & Co
- Financial Advisor Todd Cirella Suspended & Fined by FINRA
Category: Santander bond funds
Category: Santander Closed-End Funds
Category: Santander Securities
Category: Savannah Preserve LLC
Category: SCF Securities
- Financial Advisor Peter Orlando (SCF Securities, Inc.) Customer Complaints
Category: SEC
- Analyzing the Role of Securities Regulators in Protecting Investors
- SEC Brings Enforcement Action Against Financial Adviser Patrick Thayer
- Attention: All Investors Who Have Experienced Losses in the Sanford Bernstein/Alliance Bernstein Options Advantage Fund
Category: Securities America
- Financial Advisor Alan Douglass Has Disclosed Six Customer Complaints
- Financial Advisor Sanjay Bhargava (Regulus Financial Group, LLC) Customer Complaints
- Financial Advisor Ronald Roach (Securities America) Customer Complaints
- Financial Advisor Jaime Westenbarger (Securities America) Customer Complaints
- Financial Advisor Bobby Coburn (Securities America) Customer Complaints
- Financial Advisor Andrew Burdsall (Securities America) Customer Complaints
- Financial Advisor Michael Dennis Jackson (Securities America) Customer Complaints
- Financial Advisor Hector May (Securities America) Customer Complaints
- Financial Advisor Giustino Destafano (Securities America) Customer Complaints
Category: Securities Arbitration
- Understanding the Basics of Securities Arbitration
Category: Securities Service Network
- Financial Advisor Peter Holler (Securities Service Network) Customer Complaints
Category: Sigma Financial Corp
- Financial Advisor Curtis Ile (SIGMA Financial Corp.) Customer Complaints
- Financial Advisor Gregory Rusnak (SIGMA Financial Corp.) Customer Complaints
Category: Signator Investors
- Financial Advisor Dee Dee Brooks (Signature Investors) Customer Complaints
Category: Signature Securities
- Financial Advisor Philip Beviano, Jr. (Signature Securities) Customer Complaints
Category: SII Investments
- Financial Advisor Frank Cuenca (SII Investments) Customer Complaints
Category: Sisk Investment Services
- Financial Advisor Matthew Eckstein (Sisk Investment Services) Customer Complaints
Category: Snowden Account Services
- Financial Advisor Barry Snyder (Snowden Account Services) Customer Complaints
Category: Southeast Investments
- Financial Advisor Mercer Hicks III (Southeast Investments) Customer Complaints
Category: SP Investco Holdings LLC
Category: Spartan Capital
- Financial Advisor Murat Kartal Suspended by FINRA
- Financial Advisor Philip Marchese (Spartan Capital Securities, LLC) Customer Complaints
- Financial Advisor Christopher Orlando (Spartan Capital Securities, LLC) Customer Complaints
- Financial Advisor James Flower (Spartan Securities) Customer Complaints
- Spartan Capital Securities Financial Advisor, Nicholas J. Schiano, Has Two Customer Complaints Alleging Sales Practice Misconduct
- Financial Advisor Marc Reda (First Standard Financial Company LLC) Customer Complaints
- Financial Advisor Michael Resciniti (Spartan Capital Securities, LLC) Customer Complaints
Category: Spencer Edwards Inc
- Financial Advisor Timothy Ayre (Spencer Edwards, Inc.) Customer Complaints
Category: Spencer-Winston Securities Corp
- Financial Advisor Ezri Shechter (Spencer-Winston Securities Corp.) Customer Complaints
Category: Spire Securities LLC
- Financial Advisor Scott Aabel Has Twenty-Five Disclosures
Category: Stephen A Kohn & Associates
- Financial Advisor Harold Alan Schwartz (Stephan A. Kohn & Associates) Customer Complaints
Category: Stephens Inc
- Financial Advisor Bentley Blackmon (Stephens, Inc.) Customer Complaints
Category: Sterne Agee Financial Services
- Financial Advisor Sterne Agee Financial Services (Richard Wesselt) Customer Complaints
Category: Stifel Nicolaus & Company
- Financial Adviser Chuck Roberts Has Multiple Complaints Involving Structured Notes
- Did Financial Advisor Gregory Sain Recommend SVB, First Republic And Signature Bank Securities
- Financial Adviser Chuck A. Roberts Has Disclosed Three Customer Complaints
- Stifel, Nicolaus Discharged Financial Advisor James Cvetkovic
- Financial Adviser Loren Morrison Has Four Disclosed Customer Complaints
- Financial Advisor Mark Stevenson Has Nine Disclosed Customer Complaints
- Financial Advisor Joseph H. Pratt (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Brian Engstrom (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Steven Dale Rodemer (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Lawrence R. Delhagan, Jr. (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Joel Davidman (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Scott Alan Sanders (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Chadwick Carrick (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Robert Cleary (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Stephen Hurtuk (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Mitchell Yanow (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
Category: Stockcross Financial Services Inc
- Financial Advisor Herbert Voss, Jr. (Stockcross Financial Services, Inc.) Customer Complaints
Category: Summit Brokerage Services
- Financial Advisor Thomas Stappas (Summit Equities, Inc.) Customer Complaints
- Financial Advisor Victor Rigoni III (Summit Brokerage Services) Customer Complaints
- Financial Advisor Scott Kaup (Summit Brokerage Services) Customer Complaints
- Financial Advisor John Raleigh (Summit Brokerage Services) Customer Complaints
- Financial Advisor Linda Zara (Summit Brokerage Services) Customer Complaints
Category: Suntrust Investment Services
- Financial Advisor Matthew Morris (SunTrust Investment Services) Customer Complaints
Category: Supreme Alliance LLC
- Financial Advisor Megurditch (Mike) Patatian (Supreme Alliance, LLC) Customer Complaints
Category: SW Financial
- Financial Advisor John Orlando (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor William Athas (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor Joseph Lianzo (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor John Cangialosi (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor Joseph Todaro (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor Richard James Coleman (SW Financial and Worden Capital Management) Customer Complaints
Category: Tax Savings Professionals
Category: TCFG Wealth Management
- Janie Garza-Clark Barred By FINRA
Category: Temenos Advisory
- Financial Advisor George Taylor (Fairport Capital) Customer Complaints
Category: Thrivent Investment Management
- Financial Advisor Arlyn Stokesbary (Thrivent Investment Management, Inc.) Customer Complaints
Category: Titan Securities
- Financial Advisor Walter Parker (Titan Securities) Customer Complaints
Category: Torch Securities
- Financial Advisor Jeremy Johnson (Torch Securities, LLC) Customer Complaints
Category: Townsend & Kent
- Financial Advisor Gary Hammond (Hornor, Townsend & Kent, Inc.) Customer Complaints
Category: Traderight Securities
- Financial Advisor Glenn Lattz (Gradient Securities) Customer Complaints
Category: Transamerica
- Financial Advisor Lickhai Quach Barred by FINRA Amid Allegations of Violating Firm Policy
- Financial Advisor Deborah Herrmann (Transamerica Financial Advisors, Inc.) Customer Complaints
- Financial Advisor Jenny Xinfang Feng (Transamerica Financial Advisors, Inc.) Customer Complaints
- Financial Advisor Wenru Liang (Transamerica Financial Advisors, Inc.) Customer Complaints
- Financial Advisor Michael Lyle (Transamerica Financial Advisors, Inc.) Customer Complaints
- Financial Advisor Daniel Glick (Transamerica Financial Advisors, Inc.) Customer Complaints
Category: Triad Advisors
- Financial Advisor Kenneth Luccioni (Triad Advisors, LLC) Customer Complaints
- Financial Advisor Darrin Cohen (Triad Advisors, LLC) Customer Complaints
- Financial Advisor Mark Just (Triad Advisors, LLC) Customer Complaints
- Financial Advisor Lee Duckworth (Triad Advisors, LLC) Customer Complaints
Category: Truist Investment Services
- Financial Advisor Stephen Berrocal (Truist Investment Services, Inc.) Customer Complaints
Category: Trustmont Financial Group
- Financial Advisor Peter Kohli (Trustmont Financial Group, Inc.) Customer Complaints
Category: TSP Family Office
Category: U.S. Bancorp
- Financial Advisor John Douglas Wade (U.S. Bancorp Investments) Customer Complaints
Category: UBS Financial Services, Inc.
- FINRA Barred Financial Advisor John Sommo
- Financial Advisor Michael Dellinger Disclosed Four Customer Complaints Involving Options Trading
- Financial Advisor Robert Earl Turner (Stifel, Nicolaus & Company, Incorporated) Customer Complaints
- Financial Advisor Edward Lubell (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor German Nino (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Richard “Rick” Whalen (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Nicolas Barrios (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Richard D. Niemann (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor William Hobby (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Dwight West (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Alex Herrera (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor John Maccoll (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor Samuel Rankin (UBS Financial Services, Inc.) Customer Complaints
- Financial Advisor James Kujawski (UBS Financial Services, Inc.) Customer Complaints
Category: UDF REIT
Category: Uhlmann Price Securities
- Financial Advisor John Hoidas (Uhlmann Price Securities) Customer Complaints
Category: UIT
Category: Uncategorized
- Securities Litigation Impact on Publicly Traded Companies: A Deep Dive
Category: Union Capital Company
- Financial Advisor Gerald O’Halloran (Union Capital Company) Customer Complaints
- Financial Advisor Daniel Dillard (Union Capital Company) Customer Complaints
- Financial Advisor Richard Labare (Union Capital Company) Customer Complaints
Category: Unit Investment Trusts
Category: United Planners Services of America
- Financial Advisor Dan Droeg (United Planners’ Financial Services of America) Customer Complaints
- Financial Advisor Carl Gill (United Planners’ Financial Services of America) Customer Complaints
Category: USA Financial Securities Corp.
- Financial Advisor Robert Gianchiglia (USA Financial Securities Corp.) Customer Complaints
- Financial Advisor Bradley Ford (USA Financial Securities Corp.) Customer Complaints
Category: Valic Financial Advisors
- Financial Advisor Enoch Booth (ALIC Financial Advisors, Inc.) Customer Complaints
- Financial Advisor Antonio Gutierriez Puente (Valic Financial Advisors, Inc.) Customer Complaints
Category: Valmark Securities
- Financial Advisor Thomas Olexa (Valmark Securities) Customer Complaints
Category: Van Clemens & Co.
- Financial Advisor Peter Douglas Monson (Van Clemens & Co.) Customer Complaints
Category: Vanderbilt Securities LLC
- Financial Advisor Jeffrey Gitterman has Eight Disclosed Customer Complaints
- Financial Advisor Mark Kaplan (Vanderbilt Securities, LLC) Customer Complaints
Category: Variable Universal Insurance
- Universal and Variable Life Insurance: Know the Risks
Category: Variable Universal Policy
Category: Vastech Securities
- Financial Advisor Randy T. Carpen (Vestech Securities, Inc.) Customer Complaints
Category: VCS Venture Securities
- Financial Advisor Nigel James Suspended by FINRA
- Complaint Pending Against Broker Adam Maggio for Alleged Churning
- Financial Advisor Joseph Audia (VCS Venture Securities) Customer Complaints
Category: Veribest Vesta LLC
Category: Vision Brokerage Services
- Financial Advisor Dwight Dykstra (Vision Brokerage Services) Customer Complaints
Category: VIX
- Recovery Options for Investors with Losses in VIX-Linked Exchange Traded Notes
Category: VOYA Financial Advisors
- Financial Advisor Daniel Loy Has Four Disclosed Customer Complaints
- Financial Advisor William Colie Johnson (Cadaret, Grant & Co., Inc.) Customer Complaints
- Financial Advisor Jamie Marie Cooke (Voya Financial Advisors, Inc.) Customer Complaints
- Financial Advisor David R. Wall (Voya Financial Advisors, Inc.) Customer Complaints
- Financial Advisor James Travis Flynn (Voya Financial Advisors, Inc.) Customer Complaints
Category: VUL
Category: W&S Brokerage Services
- Financial Advisor Ronal Daley (W&S Brokerage Services, Inc.) Customer Complaints
- Financial Advisor Marcus Beasley (Supreme Alliance, LLC) Customer Complaints
Category: Wavecrest Securities
- Financial Advisor Louis Kreisberg (Wavecrest Securities, LLC) Customer Complaints
Category: Wedbush Securities
- Financial Advisor Joel Farnsworth Discloses $4M Dollar Customer Dispute
- Financial Advisor Jonathan Way Barred by FINRA
- Financial Advisor Marc Winters (Wavecrest Securities, LLC) Customer Complaints
- Financial Advisor Timothy Podell (Wavecrest Securities, LLC) Customer Complaints
- Financial Advisor Michael Steven Sims (Wavecrest Securities, LLC) Customer Complaints
- Financial Advisor Scott Andersen (Wavecrest Securities, LLC) Customer Complaints
Category: Wells Fargo Advisors
- Former Financial Advisor Adam T Marquardt Permanently Barred by FINRA
- Financial Advisor Xiangyu Zhang Has Ten Customer Complaints And Regulatory Infractions
- Financial Advisor David Kraft (Morgan Stanley) Customer Complaints
- Financial Advisor James Seijas (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Kenneth Welsh (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Paul Vizanko (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Raul Benitez (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Jeremy Fortner (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Tyler Rigsbee (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Scott Wayne Reed (First Financial Equity Corporation) Customer Complaints
- Financial Advisor Kevin Schaefer (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Kurt Gunter (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Jeffrey Eiler (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Elizabeth Guarino (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Stephen J. Klinger (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Stephen A. Kelbick (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Joseph Andreoli (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Michael Garris (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor David J. Strnad (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Bryan Benson (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Bryan E. Benson (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Richard Bernstein (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Wilfred Rodriguez (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Timothy Scherwa (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Bryan Musso (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Aaron Parthemer (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Earle Tingley (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Michael Morrissett (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Ralph Bianchi (Wells Fargo Clearing Services, LLC) Customer Complaints
- Financial Advisor Robert Meyers (Wells Fargo Clearing Services, LLC) Customer Complaints
Category: Western International Securities
- Financial Adviser Michaela Rauscher Has Three Disclosed Customer Complaints
- Financial Adviser Larry Burton Has Two Disclosed Customer Complaints
- Financial Advisor Efrain Trujillo Suspended by FINRA
- Financial Advisor Christopher B. Kennedy Has Disclosed Ten Customer Complaints
- Financial Advisor Thomas Swan (Western International Securities) Customer Complaints
- Financial Advisor Peter Steege (Western International Securities) Customer Complaints
- Financial Advisor David Bibo (Western International Securities) Customer Complaints
- Financial Advisor Dennis Mehringer, Jr. (Western International Securities) Customer Complaints
- Financial Advisor John Rosas Jaramillo (Western International Securities) Customer Complaints
- Financial Advisor Stuart Myles Godin (Western International Securities) Customer Complaints
- Financial Advisor Doron Kochavi (Western International Securities) Customer Complaints
- Financial Advisor Dennis A Mehringer, Jr. (Western International Securities) Customer Complaints
- Financial Advisor Kenneth McDonald (Western International Securities) Customer Complaints
- Financial Advisor Paul Soll (Western International Securities) Customer Complaints
Category: Westminster Financial Securities Inc
- Financial Advisor Peter Bitterman (Westminster Financial Securities) Customer Complaints
- Financial Advisor Louis Anthony Telerico (Westminster Financial Securities) Customer Complaints
Category: WestPark Capital
- Financial Advisor Gregory McCloskey (Westpark Capital) Customer Complaints
- Financial Advisor Stephen Sloane (Westpark Capital) Customer Complaints
- Financial Advisor Nicholas Palumbo (Park Avenue Securities LLC) Customer Complaints
- Financial Advisor Bryan Mazliach (Westpark Capital) Customer Complaints
- Financial Advisor Hary Datys (Westpark Capital) Customer Complaints
- Financial Advisor Hector Ramos (Westpark Capital) Customer Complaints
- Financial Advisor Gregory Ricker (Westpark Capital) Customer Complaints
- Financial Advisor Philip Rosenweig (Westpark Capital) Customer Complaints
- Financial Advisor Joseph Mangiapane (WestPark Capital) Customer Complaints
- Financial Advisor Lawrence Fawcett (Westpark Capital) Customer Complaints
Category: Wilbanks Securities
Category: Windsor Street Capital
Category: Woodbridge Mortgage Investment Fund
- Financial Advisor Christopher Wendel (S.A. Stone Wealth Management) Customer Complaints
- Financial Advisor John Ernst (Foresters Equity Services) Customer Complaints
- Financial Advisor Gary Forrest (American Portfolios Financial Services, Inc.) Customer Complaints
- Financial Advisor Alan New (Woodbridge Mortgage Investment Fund) Customer Complaints
Category: Woodbury Financial Services
- Financial Advisor Brian Marston (Woodbury Financial Services) Customer Complaints
- Financial Advisor Lisa Ann Brumm (Woodbury Financial Services) Customer Complaints
- Financial Advisor Ronald Hannes (Woodbury Financial Services) Customer Complaints
- Financial Advisor Jodie Lane (Woodbury Financial Services) Customer Complaints
- Financial Advisor Daryl Serizawa (Woodbury Financial Services) Customer Complaints
- Financial Advisor Raymond Ferro, Jr. (Woodbury Financial Services) Customer Complaints
- Financial Advisor James G. Kennedy (Woodbury Financial Services) Customer Complaints
- Financial Advisor Robert Ginsberg (Woodbury Financial Services) Customer Complaints
- Financial Advisor Daniel Flores (Woodbury Financial Services) Customer Complaints
- Financial Advisor John Maloney (Woodbury Financial Services) Customer Complaints
Category: Woodstock Financial Group
- Financial Advisor Joseph Derrico (Woodstock Financial Group) Customer Complaints
Category: Worden Capital Management
- Financial Advisor Christ Elias Baltas (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Matthew Gates (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor David Weisberg (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Donald Fowler (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Gregory T. Dean (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Yousuf Saljooki (SW Financial and Worden Capital Management) Customer Complaints
- Financial Advisor Gregory Dean (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Robert Yasnis (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Sean McCabe (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Richard F. Reynolds (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Emil Botvinnik (Worden Capital Management, LLC) Customer Complaints
- Financial Advisor Michael Rosalia (Worden Capital Management, LLC) Customer Complaints
Category: World Capital Brokerage
- Financial Advisor Mark Lamendola (World Capital Brokerage) Customer Complaints
Category: World Choice Securities
- Financial Advisor Thomas Stratton (World Choice Securities, Inc.) Customer Complaints
Category: Wynston Hill Capital
- Financial Advisor Ian Lowrey (Wynston Hill Capital, LLC) Customer Complaints
- Financial Advisor Robert P. Foley (Wynston Hill Capital, LLC) Customer Complaints
- Financial Advisor Joseph Thurnherr (Wynston Hill Capital, LLC) Customer Complaints

FINRA Barred Financial Advisor Vincent Pucciarelli Jr.

September 20, 2023

Vincent Pucciarelli Jr. (CRD#: 2039846) is a previously registered broker. Broker’s Background He entered the securities industry in 1996 and previously worked for J.W Barclay & Co., Inc.; Platinum Equities, Inc.; American Investment Services, Inc. (FINRA expelled the firm); Empire Financial Group, Inc. (FINRA expelled the firm); Brookstone Securities, Inc. (FINRA expelled the firm); Colorado […]

FINRA Barred Financial Advisor John Sommo

September 20, 2023

John Sommo (CRD#: 3141638) is a previously Registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Dean Witter Reynolds, Inc.; Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and UBS Financial Services, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

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