Arturo Bravo (CRD #: 6034780), a broker registered with UBS Financial Services, allegedly failed to properly inform a client, according to his BrokerCheck record, accessed […]
Paul Berkman (CRD #: 1002769), a broker registered with Ameriprise Financial Services, allegedly failed to follow a trustee’s instructions, according to his BrokerCheck record, accessed […]
Scott Schlett (CRD #: 2111952), a broker registered with Morgan Stanley, allegedly failed to manage a client’s account in her best interest, according to his […]
Sean Righter (CRD #: 5419832), a broker registered with Morgan Stanley, is involved in a pending dispute, according to his BrokerCheck record, accessed on March […]
Harlan Shulevitz (CRD #: 6336369), a broker registered with Charles Schwab & Company, was recently involved in an investor dispute, according to his BrokerCheck record, […]
Timothy Shaughnessy Allegedly Closed Account Without Client’s Authorization
Mar 17, 2023
Investor Disputes
Timothy Shaughnessy (CRD #: 5658119), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly acted without a client’s permission, according to his BrokerCheck […]
Milton Caraway (CRD #: 5903752), a broker registered with Edward Jones, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on […]
Tyler Gugliuzza (CRD #: 5792641), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on March […]
Greg Mason (CRD #: 5174552), a broker registered with LPL Financial, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on […]
Frederick Troendle (CRD #: 2811870), a broker registered with Royal Alliance Associates, was the subject of a recent dispute, according to his BrokerCheck record, accessed […]