Ryon Frisch (CRD #: 5005383), a broker registered with MML Investors Services, allegedly misrepresented annuities, according to his BrokerCheck record, accessed on November 28, 2022. […]
Thomas Tornow (CRD #: 2340857), a broker registered with Pruco Securities, allegedly failed to fully inform an investor, according to his BrokerCheck record, accessed on […]
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 […]
Brock Brady (CRD #: 4638576), a broker formerly registered with Cetera Advisor Networks, allegedly misrepresented investments, according to his BrokerCheck record, accessed on November 28, […]
Investor Alleges William Duffy Made Unsuitable Investment Recommendations
Dec 3, 2022
Unsuitable Investments
Will Duffy (CRD #: 6726333), a broker registered with Innovation Partners, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on November 28, 2022. […]
Erik Alexander (CRD #: 5839269), a broker registered with Cetera Advisor Networks, allegedly misrepresented investments, according to his BrokerCheck record, accessed on November 28, 2022. […]
Joseph Jackson Allegedly Recommended Unsuitable Investments in GWG Holdings
Dec 3, 2022
Unsuitable Investments
Joseph Jackson (CRD #: 2351290), a broker registered with Capital Investment Group, allegedly made unsuitable investment recommendations, according to his BrokerCheck record, accessed on November […]
Shannon Powers Allegedly Made Misrepresentations, Unsuitable Investment Recommendations
Dec 2, 2022
Unsuitable Investments
Shannon Powers (CRD #: 2367198), a broker registered with Western International Securities, allegedly made misrepresentations, according to her BrokerCheck record, accessed on November 28, 2022. […]
Investor Alleges Ernesto Chavez Gave Unsuitable Investment Recommendations
Dec 2, 2022
Misrepresentation
Ernesto Chavez (CRD #: 4315877), a broker registered with Emerson Equity, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on November 28, 2022. […]
Vincent Grucci (CRD #: 1602600), a broker registered with Fortune Financial Services, allegedly violated multiple FINRA rules, according to his BrokerCheck record, accessed on November […]