Sean Pahut (CRD #: 2954713), a broker registered with LPL Financial, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]
Investor Alleges Christopher Dukes Engaged in Fraud and Conversion
Mar 28, 2023
Elder Financial Abuse
Christopher Dukes (CRD #: 4712873), a broker registered with WestPark Capital, is involved in three pending investor disputes, according to his BrokerCheck record, accessed on […]
Stephen Noble (CRD #: 6068960), a broker registered with Charles Schwab & Company, allegedly engaged in conversion, according to his BrokerCheck record, accessed on March […]
Barbara Bart (CRD #: 5404157), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending investor dispute, according to […]
Michael Schmidt (CRD #: 2403903), a broker registered with Morgan Stanley, allegedly engaged in misappropriation, according to his BrokerCheck record, accessed on March 7, 2023. […]
Nicholas Catania (CRD #: 2792998), a broker registered with UBS Financial Services, was recently the subject of an investor dispute, according to his BrokerCheck record, […]
John Campbell (CRD #: 2238694), a broker registered with Cambridge Investment Research, was the subject of a recent investor dispute, according to his BrokerCheck record, […]
Nicole Pizzi (CRD #: 5770980), a broker registered with NYLIFE Securities, is involved in a pending dispute, according to her BrokerCheck record, accessed on February […]
Kevin Chiu Suspended by FINRA
Feb 15, 2023
FINRA Suspension
Kevin Chiu (CRD #: 6819859), a broker formerly registered with J.P. Morgan Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]
Suzette Frick (CRD #: 2626107), a broker registered with Money Concepts Capital Corporation, allegedly engaged in the theft of a client’s funds, according to her […]