Broker Blog - Page 10 of 260 - Securities & Investment Lawyer

Investor Seeks Over $1.3 Million in Damages in Dispute with Samantha Hobart

Jan 17, 2023 Unsuitable Investments

Samantha Hobart (CRD #: 6251748), a broker registered with Morgan Stanley, allegedly recommended an unsuitable investment strategy, according to her BrokerCheck record, accessed on January […]

Shaun Horan Allegedly Failed to Explain Features of Variable Annuity

Jan 17, 2023 Investor Disputes

Shaun Horan (CRD #: 2867195), a broker registered with Park Avenue Securities, allegedly failed to fully explain an investment, according to his BrokerCheck record, accessed […]

Justin Anderson Suspended by FINRA Over Alleged Refusal to Provide Testimony

Jan 13, 2023 FINRA Suspension

Justin Anderson (CRD #: 6389728), a broker formerly registered with Cuso Financial Services, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

FINRA Suspends Todd Seymour

Jan 13, 2023 FINRA Suspension

Todd Seymour (CRD #: 3249733), a broker formerly registered with Raymond James Financial Services, has been suspended by FINRA, according to his BrokerCheck record, accessed […]

James Couture Barred by SEC and FINRA

Jan 13, 2023 Barred Broker

James Couture (CRD #: 4406284), a broker formerly registered with LPL Financial, has been barred by both the SEC and FINRA, according to his BrokerCheck […]

Hugh Barndollar Suspended by FINRA Over Alleged Unapproved Private Securities Transactions

Jan 13, 2023 FINRA Suspension

Hugh Barndollar (CRD #: 3027317), a broker formerly registered with Crown Capital Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

David Lau Suspended by FINRA For Alleged Unauthorized Trading

Jan 13, 2023 Unauthorized Trading

David Lau (CRD #: 4567411), a broker registered with Morgan Stanley, has been suspended by FINRA, according to his BrokerCheck record, accessed on January 6, […]

Investor Alleges Tom Lopshire Made Poor Investment Recommendation

Jan 13, 2023 Mutual Fund Fraud

Tom Lopshire (CRD #: 2532500), a broker registered with Concourse Financial Group Securities, is involved in a pending dispute, according to his BrokerCheck record, accessed […]

John Nelson Fired from Pruco Securities Following FINRA Suspension

Jan 13, 2023 FINRA Suspension

John Nelson (CRD #: 6900776), a broker formerly registered with Pruco Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on January […]

FINRA Bars Bob Koestler For Alleged Refusal to Provide Testimony

Jan 13, 2023 FINRA Suspension

Bob Koestler (CRD #: 7023515), a broker registered with LPL Financial, has been barred by FINRA, according to his BrokerCheck record, accessed on January 5, […]