The Securities and Exchange Commission (SEC) charged 11 Wall Street firms with widespread and long-standing failures related to maintaining and preserving electronic communications. These firms, including well-known names like Wells Fargo Securities, ...
John Woods (CRD # 1949233) is a former investment adviser with Southport Capital and Oppenheimer & Co. Inc. Woods has been accused by federal regulators with engaging in a ponzi scheme, called “Horizon Private Equity,” that took $110M from 40 ...
Jeffrey Lewis Gitterman (CRD # 1910332) is an investment adviser with Vanderbilt Securities, LLC. He was formerly a broker and investment adviser with Triad Advisors, Inc. Gitterman has been the subject of eight customer disputes since 2019. Many of ...
Meyer Wilson is proud to announce that Courtney Werning has been appointed to FINRA’s National Arbitration and Mediation Committee (“NAMC”). NAMC is comprised of 13 members, appointed by FINRA, from across the country who have the authority t ...
Douglas Blake Solinsky (CRD # 4715268) is a suspended New York-based broker employed by Kingswood Capital Partners, LLC. Solinsky has 19 years of experience in the securities industry and has worked for seven firms, including a 10-year stint at Newbr ...
Brian Michael Sterz (CRD # 5333667) is a California-based investment adviser who was permitted to resign from B-Riley Wealth Management, in 2021, for failing to follow firm policies and procedures. Complaints Against Brian Michael Sterz Since 2021, S ...
Anthony John Pitta (CRD #1958029), a New York-based registered broker and investment adviser with Capital Investment Group, INC. is currently being investigated for his recommendation and sale of GWG L Bonds. Investors who lost money in the GWG L Bon ...
Jeremy Jefferson Jacobson (CRD #4437801) is a Louisiana and Alabama-based broker who has been suspended by FINRA for making unauthorized trades in his customers’ accounts. He currently works with Topaz Asset Management but worked for LPL Financial ...
LPL Financial LLC Broker Accused of Making Unsuitable Recommendations LPL Financial LLC broker Christopher Cavallaro has been accused of making unsuitable oil & gas investment recommendations to multiple customers. In addition to the three pendin ...
Allegations of Unsuitability Related to Selling of GWG L Bonds FIled by Multiple Clients Daniel Keith Beech, a previously registered representative of Western International Securities, is facing multiple accusations of wrongdoing. The broker currentl ...
Customer Dispute Settled for Over $12K Despite being in a fiduciary position, many brokers and investment advisers end up committing fraud, negligence, or another form of wrongdoing. Broker misconduct and investment fraud can result in substantial lo ...
Did You Suffer Losses After Investing with Brian Clark? Brian Patrick Clark, a registered broker with Cadaret, Grant & Co., Inc., has been accused of misconduct and investment fraud by multiple customers. Allegations include unauthorized and exce ...
