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 ...
Former Ameriprise Broker Facing Multiple Accusations of Wrongdoing Stuart L. Pearl (Stu Pearl) is a previously registered broker facing multiple accusations of misconduct. Allegations against Pearl include that he engaged in unauthorized trading and ...
Former LPL Financial Broker Accused of Wrongdoing Former LPL Financial LLC broker and investment adviser Alexander Arango.(Alexander Arango Burkatskaya) is the subject of multiple customer disputes. Many of the allegations involve unsuitable investme ...
Did You Suffer Losses After Investing in GWG L Bonds with Thurman or Another Broker? Dennis Patrick Thurman, a registered broker and investment adviser with Arete Wealth Management, LLC is currently being investigated for his recommendation and sale ...
Multiple Customer Disputes Settled Against Merrill Lynch Broker Several customer disputes have been settled against Merrill Lynch broker Bernard George Adair. A current dispute alleges that the broker misappropriated funds, made material misrepresent ...
Centaurus Financial Broker Accused of Misconduct Registered broker and investment adviser William Charles Burks II (Bill Burks II) has again been accused of wrongdoing. A pending dispute against the broker alleges that he made unsuitable recommendati ...
Former Merrill Lynch Broker Accused of Misallocating Funds, Making Misrepresentations, and Unsuitable Recommendations The United States Securities and Exchange Commission (SEC) has issued an order barring Richard Michael Crabtree from acting as a bro ...
R.F. Lafferty & Co. Broker Accused of Wrongdoing Registered broker Richard John Belz has been accused of wrongdoing. According to multiple customer disputes, allegations by investors include that Belz was churning investments, making unsuitable r ...
Previously Registered LPL Financial and Parkland Securities Broker Accused of Misappropriating Client Funds Previously registered broker Patrick Noel Thayer has been suspended by the Financial Industry Regulatory Authority (FINRA) after allegations t ...
