Monty Cerf (CRD #: 2269462), a broker registered with UBS Financial Services, is involved in three pending investor disputes, according to his BrokerCheck record, accessed […]
Investors Seek Nearly $5 Million in Pending Disputes with David Turetzky
Mar 11, 2023
Failure to Supervise
David Turetzky (CRD #: 2954337), a broker formerly registered with Ameriprise Financial Services, has been the subject of several disputes in recent years, according to […]
Ann Greene (CRD #: 1616048), a broker registered with Oppenheimer & Company, allegedly failed to supervise, according to her BrokerCheck record, accessed on March 1, […]
Alberto Hamonet (CRD #: 3077774), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending investor dispute, according to his […]
Sanjay Patel (CRD #: 2442015), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending investor dispute, according to his […]
Timothy McKenna (CRD #: 2029697), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending dispute, according to his BrokerCheck […]
Donald McKiernan (CRD #: 1305965), a broker registered with Landolt Securities, allegedly failed to supervise another broker’s conduct, according to his BrokerCheck record, accessed on […]
James Raper (CRD #: 5721253), a broker registered with WealthForge Securities, is the subject of three pending investor disputes, according to his BrokerCheck record, accessed […]
Investor Seeks Over $2.4 Million in Damages in Dispute with Michele Fane
Feb 10, 2023
Failure to Supervise
Michele Fane (CRD #: 858728), a broker registered with Cadaret, Grant, & Company, is named in a dispute alleging failure to supervise, according to her […]
Gregg Ettin (CRD #: 1604260), a broker registered with Clearview Trading Advisors, has been suspended by FINRA, according to his BrokerCheck record, accessed on January […]