Dennis Butler (CRD #: 4491587), a broker formerly registered with PHX Financial, allegedly acted as an unregistered broker, according to his BrokerCheck record, accessed on […]
Patrick Orlando Subject of SEC Allegations
Sep 10, 2024
SEC Complaint
Patrick Orlando (CRD #: 2391824), a broker registered with Entoro Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, […]
Daniel Kaplan Involved in SEC Complaint Alleging Fraud and Misappropriation
Jun 3, 2023
SEC Complaint
Daniel Kaplan (CRD #: 6609015), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending SEC complaint, according to […]
Adam Kaplan (CRD #: 6609019), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending SEC complaint, according to […]
Richard Michalski (CRD #: 4588706), a broker registered with Laidlaw & Company (UK), was recently investigated by the SEC, according to his BrokerCheck record, accessed […]
Terrence Reagan (CRD #: 2672751), a broker formerly registered with Network 1 Financial Securities, is involved in a pending lawsuit, according to his BrokerCheck record, […]
Robert Cuculich Named in SEC Complaint
Feb 15, 2023
SEC Complaint
Robert Cuculich (CRD #: 706353), a broker registered with Pinnacle Investments, is involved in an SEC civil complaint, according to his BrokerCheck record, accessed on […]
Gabriel Edelman (CRD #: 5778763), a broker formerly registered with Spartan Capital Securities, is involved in a pending SEC complaint, according to his BrokerCheck record, […]
SEC Names Joseph Walsh in Complaint Against Alpine Securities Corporation
Oct 24, 2022
SEC Complaint
Joseph Walsh (CRD #: 1519958), a broker registered with Alpine Securities Corporation, is named in a pending SEC civil complaint, according to his BrokerCheck record, […]
SEC Orders Daniel Ives to Cease and Desist
Aug 12, 2022
SEC Complaint
Daniel Ives (CRD #: 4205842), a broker registered with Wedbush Securities, was the subject of a recent SEC action, according to his BrokerCheck record, accessed […]