Broker Blog - Page 4 of 336 - Securities & Investment Lawyer

Christopher McCarthy Allegedly Failed to Inform Client About Variable Annuities

Jun 3, 2023 Investor Disputes

Christopher McCarthy (CRD #:1956074), a broker registered with NYLIFE Securities, allegedly failed to fully inform a client about her variable annuities, according to his BrokerCheck […]

Investor Alleges Misrepresentation in Dispute with Michael Kinkel

Jun 3, 2023 Investor Disputes

Michael Kinkel (CRD #: 5947093), a broker registered with David Lerner Associates, allegedly engaged in misrepresentation, according to his BrokerCheck record, accessed on May 24, […]

Investor Alleges John Alcantara’s Advice Led to Losses

Jun 3, 2023 Investor Disputes

John Alcantara (CRD #: 5658289), a broker registered with Northwestern Mutual Investment Services, was involved in a recent investor dispute, according to his BrokerCheck record, […]

Donald Osten Named in Dispute Seeking Six-Figure Damages

Jun 3, 2023 Investor Disputes

Donald Osten (CRD #: 3084914), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on May […]

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 Named in SEC Complaint Alleging Misappropriation

Jun 3, 2023 SEC Complaint

Adam Kaplan (CRD #: 6609019), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending SEC complaint, according to […]

Adam Nugent Barred by SEC Following Fraud Allegations

Jun 3, 2023 Barred Broker

Adam Nugent (CRD #: 4549399), a broker formerly registered with Purshe Kaplan Sterling Investments, has been barred by the SEC, according to his BrokerCheck record, […]

Jeffrey Pickett Ordered to Cease and Desist by State of Ohio

Jun 1, 2023 Regulatory Action

Jeffrey Pickett (CRD #: 1464524), a broker formerly registered with Prudential Securities, was the subject of a recent state regulatory action, according to his BrokerCheck […]

Timothy Berthel Barred by State of Illinois

Jun 1, 2023 Barred Broker

Timothy Berthel (CRD #: 1424900), a broker formerly registered with Financial West Group, has been barred by the State of Illinois, according to his BrokerCheck […]

Richard Konopka Barred by SEC for Allegedly Acting as Unregistered Broker

Jun 1, 2023 Barred Broker

Richard Konopka (CRD #: 5657843), a broker formerly registered with National Securities Corporation, allegedly acted as an unregistered broker, according to his BrokerCheck record, accessed […]