- Free Consultation: (855) 430-4010
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Update: Broker Scott Reed, Formerly of Wells Fargo in Scottsdale, Arizona, Appears to Have a History of Recommending High Risk and High Commission Investments to Customers
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Palm City, Florida Financial Advisor, Richard Shelley, Formerly of Packerland Brokerage Services, Inc., Suspended by FINRA
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INVESTOR ALERT: ATTENTION CREDIT SUISSE-GREENSILL FUND INVESTORS
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How to Recover Puerto Rico Bond Losses From David Lerner Associates, Inc.
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Rodgers, Arkansas Financial Advisor Rhett Bedwell BARRED by FINRA
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INVESTOR ALERT: ATTENTION AIRBORNE WIRELESS NETWORK (ABWN) STOCKHOLDERS
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Broker Megurditch Mike Patatian, Formerly of Western International Securities, Inc. Facing Disciplinary Charges by FINRA for Recommending Unsuitable Illiquid REITs to 59 Customers, Including 21 Elderly Customers – Westlake Village, California
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Great Nation Investment Corporation President and CEO, Bryon Pat Treat, BARRED by FINRA – Amarillo, Texas
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Former LPL Financial Broker Bradley Allen Goodbred BARRED by FINRA – Roselle, IL
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Broker Ricky Alan Mantei Suspended by FINRA For Violating Firm Prearranged Trading Prohibitions – Lexington, SC
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Broker Spotlight: Daniel T. Lerner of David Lerner Associates, Inc. Facing Three Pending Securities Arbitration Complaints – White Plains, New York
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Moab, Utah Financial Advisor Scott Hansen, Formerly of LPL Financial LLC, Suspended by FINRA
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Former Woodrock Securities, L.P. and Campfire Capital Broker, Sean McDevitt, Suspended by FINRA
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Financial Advisors in Morgan Stanley’s Global Sports and Entertainment Group Have Been the Subject of Six Customer Disputes Over the Past Year
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INVESTOR ALERT: IORIO ALTAMIRANO LLP INVESTIGATES GPB CAPITAL, ASCENDANT CAPITAL, AND ASCENDANT ALTERNATIVE STRATEGIES OVER PONZI SCHEME CHARGES
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Former NBA Players Chandler Parsons and Courtney Lee Reportedly File a $5 Million Securities Arbitration Claim Against Morgan Stanley and Broker Darryl Cohen
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Former Broker James Alan Schumaker Suspended by FINRA Over Dealings with Barred Registered Representative – Lafayette, IN
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Former Broker Stewart Schram Suspended by FINRA Over Outside Business Activities and Private Securities Transactions – Northbrook, IL
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Iorio Altamirano LLP Files Securities Arbitration Claim Against David Lerner Associates, Inc. Related to Unsuitable Recommendations Made by President and CEO Martin Walcoe
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Investor Alert: Iorio Altamirano LLP Investigates The GMS Group LLC Over Fair Pricing and Supervisory Violations
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Former Wells Fargo Broker in Scottsdale, Arizona, Scott Reed, Barred by FINRA
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Network 1 Financial Securities Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations – Red Bank, New Jersey
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At Least Twenty-Four Customers Have Filed Securities Arbitration Complaints Against Robinhood Financial, LLC
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Charleston, SC Financial Advisor Paul Halvorson, Formerly of Morgan Stanley, BARRED by FINRA
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Former Transamerica Financial Advisors Wenru Liang and Jenny Xinfang Feng Suspended by FINRA – Columbia, MD
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Broker Spotlight: Michael Hernandez of Arive Capital Markets – Brooklyn, New York
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Arive Capital Markets Broker, Mirsad Muharemovic, Accused of Churning, Excessive Trading, and High-Pressure Sales Tactics
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Broker Spotlight: Daniel Silverstein of Arive Capital Markets – Miami, Florida
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J.H. Darbie & Co., Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations
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Investor Alert: Iorio Altamirano LLP Investigates Triad Advisors LLC Over Supervisory Violations Related to Mutual Funds Trading and Variable Annuity Exchanges
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Investigative Report: Iorio Altamirano LLP Investigation into Arive Capital Markets Reveals Troubling Pasts for Owners, Executives, and Brokers
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Former David Lerner Associates Financial Advisor, Charles Bonilla, Suspended by FINRA for Unsuitable Energy-Sector Securities – Boca Raton, FL
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Key Investor Issues Outlined in FINRA 2021 Exam Priorities – Part Two
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Portland Financial Advisor, Lisa Brumm, Suspended by FINRA for Unsuitable Variable Annuity Recommendations, Borrowing from a Client, and Negligent Misrepresentation
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Arive Capital Markets Broker, Joseph Fuller, Accused of Churning and Unauthorized Trading
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Somersworth, NH Financial Advisor Michael Francoeur, Formerly of Cambridge Investment Research, Inc, BARRED by FINRA
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Arive Capital Markets Broker, Lon Faccini, Facing Two Pending Disputes Alleging Excessive Trading, Churning, Misrepresentation, and Unsuitability
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Former J.P. Morgan Securities Broker Jasmit Singh SUSPENDED by FINRA – New York, NY
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Key Investor Issues Outlined in FINRA 2021 Exam Priorities – Part One
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Columbus, Ohio Financial Advisor Lisa Stevenson, Formerly of The Huntington Investment Company, BARRED by FINRA
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Investor Alert: Iorio Altamirano LLP Continues to Investigate Robinhood, Webull, T.D. Ameritrade, Interactive Brokers, Charles Schwab, and Other Brokerage Firms for Market Manipulation and Breach of Contract
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Arive Capital Markets’ Roy Failla Suspended by New Jersey for Engaging in Dishonest and Unethical Practices in the Securities Business, Including Excessive Trading
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Investor Alert: Iorio Altamirano LLP Investigates Robinhood, T.D. Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation
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Former Broker Michael August Pellegrino SUSPENDED by FINRA
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Former Merrill Lynch Broker in Atlanta, Tyler Delahunt, BARRED by FINRA
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Amarillo, Texas Financial Advisor David A. Jenson BARRED by FINRA
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Financial Advisor Anthony Tricarico Suspended by FINRA for Excessive Trading While Employed at Aegis Capital Corp. – New York, NY
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After Merrill Lynch Has Paid Over $66 Million to Settle Churning Allegations Against Former Broker Charles Kenahan, FINRA Has Barred Kenahan From the Industry.
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Fort Lauderdale Financial Advisor Bryan Mazliach BARRED by FINRA For Excessive Trading and Unauthorized Trades
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Charlotte, North Carolina Financial Advisor Gary Wayne Hammond BARRED by FINRA
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Iorio Altamirano LLP Joins Congresswoman Maxine Waters in Urging the Biden Administration to Rescind Regulation Best Interest (Reg BI) and Replace it with a Uniform Fiduciary Obligation Standard.
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Financial Advisor Christian Lucchetto Suspended by FINRA for Excessive Trading
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Sparks, Nevada Financial Advisor, Javelin Mikol San Nicolas, Formerly of Edward Jones, BARRED by FINRA
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Steven Robert Luftschein, Formerly with Aegis Capital Corp, Barred by FINRA
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Berthel Fisher & Company Financial Services, Inc. Customer in Layton, Utah Filed FINRA Arbitration Complaint About REITs and BDCs
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Former Merrill Lynch Broker in Beverly Hills, Ryan Raskin, Barred by FINRA
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Boulder, Colorado Financial Advisor, Formerly of LPL Financial LLC, Suspended by FINRA
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Statesboro, Georgia Financial Advisor Christopher B. Black BARRED by FINRA
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VALIC Financial Advisors, Inc. Fined $350,000 by FINRA Over Variable Annuity Supervisory Violations
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Investor Alert: Iorio Altamirano LLP Investigates Morgan Stanley Over 529 Savings Plans
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Crown Capital Securities, L.P. Customer Filed FINRA Arbitration Complaint About Non-Traded Real Estate Investment Trusts (REITs) and Non-Traded Business Development Companies (BDCs)
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Jose Ramon Martinez, with Popular Securities, LLC, facing six pending customer disputes over Puerto Rico investments
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Former Morgan Stanley Financial Advisor John Griner Suspended by FINRA – Athens, Georgia
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Investor Alert: Iorio Altamirano LLP Investigates B. Riley Wealth Management Inc. Over 529 Savings Plans
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Springfield, IL Financial Advisor Dustin P. Shafer BARRED by FINRA After Allegedly Borrowing Money from an Elderly Customer
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Former Ameriprise Broker Angel Bardeche Suspended by FINRA – Cincinnati, Ohio
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$3.9 Million Customer Claim Involving Former LPL Financial and Ameriprise Financial Broker Maziar Monshi Filed with FINRA – Boca Raton, FL
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Antonio Almeida, with Worden Capital Management LLC, Suspended by FINRA
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Jason Collichio, with Worden Capital Management LLC, Suspended by FINRA Over Supervisory Failures
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New Year’s Resolutions for Investors in 2021
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Investor Alert: Iorio Altamirano LLP Investigates Worden Capital Management LLC Over Excessive Trading
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Investor Alert: Iorio Altamirano LLP Investigates Wells Fargo Over Variable Annuity Switches
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Former J.P. Morgan Securities and Edward Jones Broker, Paul Zakhary, Suspended for Unsuitable Annuity Switch Recommendations – Florida
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Jaime I. Sanchez Rivera, former First Southern, LLC Financial Advisor in Puerto Rico, Suspended by FINRA – Guaynabo, Puerto Rico
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Top 15 Types of Securities Leading to Customer Disputes in 2020
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Iorio Altamirano LLP 2020 Highlights
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UBS Ordered to Pay $90,000 to Yield Enhancement Strategy Customer
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Former Merrill Lynch Financial Advisor, Rawad Roy Alame, Suspended by FINRA for Selling Away
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Hortensia Llavat, formerly with Santander Securities, facing twenty-three pending customer disputes over unsuitable Puerto Rico investments
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Hector Gonzalez, with Merrill Lynch, facing six pending customer disputes over unsuitable investment recommendations – Guaynabo, Puerto Rico
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Transamerica Financial Advisors, Inc. Sanctioned by FINRA and Ordered to Pay $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds, and 529 Plans
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Former LPL Financial LLC Financial Advisor, Michael Anthony Tavel, Suspended by FINRA for Selling Away, Making an Unsuitable Recommendation, and Misrepresentation – Indianapolis, IN
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Investor Alert: Iorio Altamirano LLP Investigates SunTrust Investment Services, Inc. Over Non-Traditional ETF Supervisory Practices
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Investor Alert: Iorio Altamirano LLP Investigates Former Oppenheimer Broker Frederick Levine and Oppenheimer Over Unit Investment Trust (UIT) Early Rollover Practices
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Investor Alert: Iorio Altamirano LLP Investigates Stifel, Nicolaus & Company Over Unit Investment Trust (UIT) Early Rollover Practices
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Investor Alert: Iorio Altamirano LLP Investigates SagePoint Financial, Inc. Over Unit Investment Trust (UIT) Early Rollover Practices
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R.F. Lafferty & Co., Inc. and Financial Advisor Jay Clint Tomlinson Sanctioned by FINRA – New York, NY
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Former Ameriprise and Edward Jones Broker Drew R. Mantel Suspended by FINRA for Exercising Discretion Without Written Authorization In Customers’ Accounts – Ohio
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Dario Suarez, with UBS Financial Services Inc. of Puerto Rico, facing twenty-three pending customer disputes over Puerto Rico investments
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Robert Lapetina, formerly with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments
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Miguel Pascual, formerly with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
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Angel Canabal, with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments
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Jose David Mendez, with UBS Financial Services Inc. of Puerto Rico, facing fifteen pending customer disputes over Puerto Rico investments
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Former Cadaret, Grant & Co., Inc. Financial Advisor Timothy James Pandekakes Suspended for Unsuitable Variable Annuity Recommendations – Westchester, New York
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Vicente Castillo, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments
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Jose Crescioni, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
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Xavier Aguayo, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
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Ramon Almonte, with UBS Financial Services Inc. of Puerto Rico, facing 34 pending customer disputes over Puerto Rico investments
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Ricardo Eboli, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments
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Michael Edward Magill BARRED by FINRA – Portland, Maine
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INVESTIGATION: Kodak Stock Investment Losses
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Dee Dee Brooks BARRED by FINRA – Huntington Beach, California
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INVESTIGATION: Long Island Resident Mark Alan Lisser Charged with Defrauding Investors
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Broker Timothy David O’Brien, Formerly with Feltl & Company, Suspended by FINRA – Inver Grove Heights, MN
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Former Stifel, Nicolaus & Company, Inc. Financial Advisor Kurt Gunter Suspended by FINRA for Short-Term Trading of Unit Investment Trusts in Customer Accounts
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Neemit M. Shah Suspended for Six Months for Recommending Future Income Payments, LLC – Glen Allen, Virginia
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Micah W. Patterson Was Suspended for One Month for Soliciting Future Income Payments, LLC – Centerville, Utah
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INVESTIGATION: Former Edward Jones Financial Advisor Michael Thomas Jennings Barred by FINRA– Johnston, Iowa
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$1.3 Million Claim Filed Against Insigneo Securities Over Broker Felipe Henao – Miami, FL
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Former Merrill Lynch Broker Douglas Stopkey Suspended by FINRA for 30 Days Over Unauthorized Trading and Mismarked Orders in Senior Customer Accounts
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David T. Phillips Suspended for Nine Months for Future Income Payments, LLC Solicitation – Gilbert, Arizona
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Troy R. Baily Suspended for Recommending Future Income Payments, LLC – Omaha, Nebraska
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Lonna R. Dehn Ristvedt Suspended for Soliciting Customers to Buy Future Income Payments, LLC – Fargo, North Dakota
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John Westbrook Suspended for Future Income Payments, LLC Solicitation – Montgomery, Alabama
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Future Income Payments, LLC: How to Recover Losses
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Coastal Equities, Inc. Censured by FINRA and Ordered to Pay Over $280,000 in Restitution and Interest to Customers – Dublin, Ohio
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Citigroup Global Markets Inc. Fined $475,000 by FINRA for Omissions in Equity Research Reports
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Financial Advisor Richard Michael Wesselt BARRED by FINRA for Recommendations in Unsuitable Variable Annuity Investments to 78 Customers – Collegeville, PA
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Financial Advisor Lawrence Goldstein BARRED by FINRA – Nevada
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Oppenheimer Financial Advisor Ivan Shore (CRD# 1012943) SUSPENDED by FINRA for Short-Term Trading of Unit Investment Trusts in Customer Accounts – New York, NY
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Former Raymond James Financial Advisor Vonna Kay Husby (CRD# 1314070) BARRED by FINRA After Allegedly Co-Owning a Bank Account With an Elderly Customer – Fairbanks, Alaska
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What is an in and out trading strategy?
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National Securities Corporation Censured by FINRA and Fined $125,000 for Numerous Violations
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James Couture, Former LPL Financial Broker, BARRED by FINRA – Worcester, MA
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INVESTIGATION: FINRA Suspends Indiana Firm CFD Investments, Inc. for Oil and Gas Private Placement Sales to 31 Customers – Kokomo, Indiana
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Financial Advisor Cynthia Diane Cowden (CRD# 2054676) BARRED by FINRA for Recommending High- Risk Investments to Three Senior Customers – Lake Isabella, CA
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Financial Advisor Donatas B. Vildzius (CRD# 2202883) SUSPENDED for a Third Time by FINRA for Excessive Trading – Danbury, CT
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Broker Bryan Mazliach Investigated by FINRA For Excessive Trading in 7 Customer Accounts and Hundreds of Unauthorized Trades
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INVESTIGATION: Former Morgan Stanley and Westpark Capital, Inc. Financial Advisor Stephen Sloane (CRD# 1257601) Investigated by FINRA for Unsuitable Trades in 14 Customer Accounts– New York, NY
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Morgan Stanley Fined, Censured, And Ordered to Pay Nearly $775,000 in Restitution to Customers Over Former Broker Kevin Gunnip (CRD# 2701801)
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UBS Profits Double as Investors in UBS’s Yield Enhancement Strategy Suffer Losses
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Financial Advisor Frank Venturelli (CRD# 6403468) SUSPENDED by FINRA – New Jersey
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Financial Advisor Jeffrey Broten (CRD# 1006678) BARRED by FINRA – New Jersey
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Why FINRA Should Convert In-Person Hearings Canceled Due To COVID-19 To Virtual Hearings
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Can World Investor Week Effect Real Change for Main Street Investors?
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Seasoned Securities Arbitration Lawyers August M. Iorio and Jorge Altamirano Announce Their New Law Firm Iorio Altamirano LLP
Securities Arbitration Lawyer Blog