Russell Demarest (CRD #: 1077828), a broker registered with MML Investors Services, is the subject of an investor dispute. This is according to his BrokerCheck […]
Courtney Fellowes Involved in Dispute Alleging Reg BI Violation
Jul 26, 2023
Failure to Follow Instructions
Courtney Fellowes (CRD #: 2977686), a broker registered with Kenmar Securities, allegedly engaged in misconduct, according to her BrokerCheck record, accessed on July 18, 2023. […]
Diane Finnerty Allegedly Sold Stock Against Client’s Instructions
Jul 20, 2023
Failure to Follow Instructions
Diane Finnerty (CRD #: 2762263), a broker registered with Morgan Stanley, allegedly failed to follow a client’s instructions, according to her BrokerCheck record, accessed on […]
Trust Names Monem Salam in Dispute Alleging Failure to Follow Instructions
Jul 20, 2023
Failure to Follow Instructions
Monem Salam (CRD #: 2377703), a broker registered with Saturna Brokerage Services, allegedly failed to follow a trust’s liquidation instructions, according to his BrokerCheck record, […]
Robert Arellano Allegedly Failed to Follow Client’s Investment Instructions
Jul 20, 2023
Failure to Follow Instructions
Robert Arellano (CRD #: 5973995), a broker formerly registered with Edward Jones, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed […]
Joseph Maukonen Allegedly Failed to Follow Client’s Investment Instructions
Jul 19, 2023
Failure to Follow Instructions
Joseph Maukonen (CRD #: 6356473), a broker registered with Park Avenue Securities, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed […]
Ryan Culpepper Allegedly Failed to Follow Stock Order Instructions
Jul 7, 2023
Failure to Follow Instructions
Ryan Culpepper (CRD #: 4225424), a broker registered with Wells Fargo Clearing Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, […]
Robert Scherzer Allegedly Failed to Follow Client’s Instructions
Jun 23, 2023
Failure to Follow Instructions
Robert Scherzer (CRD #: 873966), a broker registered with Wells Fargo Advisors Financial Network, allegedly failed to follow a client’s instructions, according to his BrokerCheck […]
David Carlson Allegedly Failed to Follow Client’s Investment Instructions
May 24, 2023
Failure to Follow Instructions
David Carlson (CRD #: 2214571), a broker registered with UBS Financial Services, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed […]
James Erickson Allegedly Failed to Follow Client’s Instructions
May 17, 2023
Failure to Follow Instructions
James Erickson (CRD #: 1915851), a broker registered with Morgan Stanley, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on […]