Richard Michalski (CRD #: 4588706), a broker registered with Laidlaw & Company (UK), was recently investigated by the SEC, according to his BrokerCheck record, accessed […]
Greg Degraeve’s Recommendations Allegedly Not in Client’s Best Interest
Mar 17, 2023
Regulation Best Interest
Greg Degraeve (CRD #: 5722861), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was involved in a recent dispute, according to his BrokerCheck […]
Christopher Duffy (CRD #: 2515612), a broker registered with Morgan Stanley, allegedly failed to act according to his clients’ best interests, according to his BrokerCheck […]
Investor Alleges Russell McAlister Failed to Act in Her Best Interest
Feb 24, 2023
Regulation Best Interest
Russell McAlister (CRD #: 2914778), a broker registered with Edward Jones, is the subject of a pending investor dispute, according to his BrokerCheck record, accessed […]
Gerard Bessette Allegedly Failed to Provide Full Disclosure to Client
Feb 14, 2023
Regulation Best Interest
Gerard Bessette (CRD #: 6275024), a broker registered with Fidelity Brokerage Services, was the subject of a recent dispute, according to his BrokerCheck record, accessed […]
James Sheffield (CRD #: 2951594), a broker registered with UBS Financial Services, allegedly made unsuitable investment recommendations, according to his BrokerCheck record, accessed on January […]
Jeffrey Peyser Allegedly Recommended Investments Not in Client’s Best Interests
Feb 3, 2023
Regulation Best Interest
Jeffrey Peyser (CRD #: 4535614), a broker registered with Morgan Stanley, is involved in a pending dispute, according to his BrokerCheck record, accessed on January […]
Philip Bradshaw Allegedly Failed to Act in Investors’ Best Interest
Jan 13, 2023
Regulation Best Interest
Philip Bradshaw (CRD #: 5111576), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly violated Best Interest requirements, according to his BrokerCheck […]
Brooks Andrews Allegedly Failed to Act in Client’s Best Interest
Dec 19, 2022
Regulation Best Interest
Brooks Andrews (CRD #: 6242774), a broker registered with LPL Financial, was recently the subject of a dispute, according to his BrokerCheck record, accessed on […]