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 […]
Nohra Bello Allegedly Failed to Act in Investors’ Best Interest
Dec 9, 2022
Regulation Best Interest
Nohra Bello (CRD #: 6290051), a broker registered with Fidelity Brokerage Services, allegedly failed to act in his clients’ best interest, according to his BrokerCheck […]
Paul Edwards Allegedly Failed to Act in Clients’ Best Interest
Nov 15, 2022
Regulation Best Interest
Paul Edwards (CRD #: 5967107), a broker registered with NYLIFE Securities, allegedly failed to act in investors’ best interests, according to his BrokerCheck record, accessed […]
Investor Alleges Behnam Beheshti Failed to Act in His Best Interest
Nov 15, 2022
Regulation Best Interest
Behnam Beheshti (CRD #: 6319551), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to act in a client’s best interest, according […]
Ricardo Villar (CRD #: 4497494), a broker registered with UBS Financial Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on […]
Investors Allege They Were Not Fully Informed About Clifford Harro
Oct 21, 2022
Regulation Best Interest
Clifford Harro (CRD #: 1965475), a broker registered with J.W. Cole Financial, is named in a pending dispute, according to his BrokerCheck record, accessed on […]
Patrick Egan (CRD #: 2973478), a broker registered with Western International Securities, is the subject of an SEC lawsuit, according to his BrokerCheck record, accessed […]