Michael Battalini (CRD #: 3204878), a broker formerly registered with World Capital Brokerage, recently resigned from that firm, according to his BrokerCheck record, accessed on […]
Hector Negrete (CRD #: 4718683), a broker formerly registered with Transamerica Financial Advisors, was recently fired from that firm, according to his BrokerCheck record, accessed […]
Jeffrey Springman (CRD #: 5869953), a broker registered with Morgan Stanley, is involved in a pending dispute, according to his BrokerCheck record, accessed on May […]
Darrach Bourke (CRD #: 5255413), a broker registered with Emerson Equity, allegedly engaged in negligent conduct, according to his BrokerCheck record, accessed on May 8, […]
Jon Merritt (CRD #: 2796485), a broker registered with Wells Fargo Clearing Services, allegedly failed to fully inform an investor, according to his BrokerCheck record, […]
Investor Alleges Jeffrey Lawson’s Investment Recommendations Resulted in Losses
May 12, 2023
Unsuitable Investments
Jeffrey Lawson (CRD #: 3257793), a broker registered with Fifth Third Securities, was the subject of an investor dispute, according to his BrokerCheck record, accessed […]
Tyler Sherwood (CRD #: 6532334), a broker registered with Ameriprise Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed […]
Investor Alleges Michael Ricca Failed to Diversify Portfolio
May 12, 2023
Failure to Follow Instructions
Michael Ricca (CRD #: 2156525), a broker registered with Morgan Stanley, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on […]
Investor Alleges Mark Hembling Failed to Put in Stop-Loss Orders
May 12, 2023
Failure to Follow Instructions
Mark Hembling (CRD #: 4955292), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on […]
John O’Leary (CRD #: 2354306), a broker registered with UBS Financial Services, allegedly misrepresented and churned a client’s investments, according to his BrokerCheck record, accessed […]