Harlem Valdez (CRD #: 4930124), a broker formerly registered with J.P. Morgan Securities, allegedly executed unauthorized trades, according to their BrokerCheck record, accessed on November […]
Cheryl Young (CRD #: 3065471), a broker registered with Rockefeller Financial, was involved in a recent dispute, according to her BrokerCheck record, accessed on August […]
Investor Names John Lentz in Dispute Involving Unsuitable Mutual Funds
Aug 31, 2022
Mutual Fund Fraud
John Lentz (CRD #: 306675), a broker registered with Morgan Stanley, is the subject of a pending dispute, according to his BrokerCheck record, accessed on […]
John Harnish (CRD #: 4813106), a broker registered with Cadaret, Grant & Company, was the subject of recent SEC regulatory action, according to his BrokerCheck […]
Merrill Lynch Mutual Funds: FINRA Fines Firm for Overcharging Investors
Jun 21, 2022
Current Investigations
On June 1, 2022, the Financial Industry Regulatory Authority alleged that Merrill Lynch mutual fund investors had overpaid for Class C mutual funds. FINRA ordered […]
Cuna Brokerage Services Fires Kyle Steibel After Allegedly Violating Firm Policy
Apr 25, 2022
Investor Disputes
Kyle Steibel (CRD #:6631554), a formerly registered broker, was recently fired by Cuna Brokerage Services, according to his BrokerCheck record, accessed on April 12, 2022. […]