Civil investigation Archives - New York Investment Fraud Lawyer

Brad Holts Subject of SEC Complaint, Suspended By FINRA

Jun 12, 2023 Civil investigation

Brad Holts (CRD #: 5819398), a former broker, is the subject of a pending SEC complaint, according to his BrokerCheck record, accessed on June 2, […]

Alexander Joh Facing Allegations of Converting Funds from an Investor

Mar 8, 2022 Broker Theft

Alexander Joh (CRD #: 7248158), a broker registered with JP Morgan Securities, is the subject of a civil action, according to his BrokerCheck record, accessed […]

David Wheatley Under Investigation by the Teachers Insurance and Annuity Association of America

Feb 8, 2022 Civil investigation

David Wheatley (CRD #:2337773), a broker registered with Newedge Securities, is under investigation by the Teachers Insurance and Annuity Association of America, according to his […]