Josh Washington (CRD #: 6609813), a broker registered with Morgan Stanley, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, […]
Jay Sofranko (CRD #: 4658914), a broker registered with UBS Financial Services, is the subject of an investor dispute. Investors may also have engaged his […]
Marc Hallick (CRD #: 4652410), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to his […]
Matthew Steinberg (CRD #: 2430032), a broker registered with Oppenheimer & Co. in Jenkintown, Pennsylvania, is the subject of a multi-million dollar investor dispute. This […]
Ibrahim Kurtulus (CRD #: 2287372), a broker registered with Joseph Stone Capital, is the subject of an investor dispute. This dispute appears on his BrokerCheck […]
Michael Puma (CRD #: 2460247), a previously registered broker with Oppenheimer & Co., is the subject of an investor dispute. This disclosure appears on his […]
Dan King: Terminated and Barred Following Allegations of Unsuitable Use of Margin
Aug 31, 2023
FINRA Suspension
Dan King (CRD #: 5954543) has been fired by Kingswood Wealth Advisors (CRD #: 5954543), according to his BrokerCheck record, accessed on August 30, 2023. […]
Bud Arnett (CRD #: 1080126), a previously registered broker with Prospera, is facing allegations that he made unsuitable use of margin in an investor’s account. […]
John Engler Allegedly Recommended Unsuitable Margin Investment Strategy
May 10, 2023
Margin Disputes
John Engler (CRD #: 835827), a broker registered with Ameriprise Financial Services, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on May 3, […]
Gregory Dufala (CRD #: 5353950), a broker registered with LPL Financial, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]