Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Chad Vandenbusch Facing Client Allegations Regarding Misrepresentations

September 18, 2020
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Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading…

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Gregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin

August 20, 2020
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Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record,…

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Christopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint

August 20, 2020
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Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory…

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Sylvester Knox Suspended By FINRA Following Regulatory Actions and Client Disputes Alleging Unauthorized Transactions

August 20, 2020
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Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry…

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Mark Wojno, Michigan Advisor, Involved in Investor Dispute

July 30, 2020
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Mark Wojno (CRD#: 5623841), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to his Investment…

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Dave Mock, Pennsylvania FA, Involved in Investor Dispute Over Suitability

July 30, 2020
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Dave Mock (CRD#: 1309680), a registered representative with Trustmont Financial Group, Inc. (CRD#: 18312) and a Registered Investment Adviser (RIA) with Money Management Advisory, Inc. (CRD#: 14983) in Feasterville, Pennsylvania,…

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Ricardo Urrutia, formerly of Mutual of Omaha Investor Services, Suspended by FINRA

April 28, 2020
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Ricardo Urrutia (CRD#: 5719923), a former broker with Mutual of Omaha Investor Services, Inc. (CRD#: 611) in Paramus, New Jersey,  has been suspended by the Financial Industry Regulatory Authority (FINRA)…

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Alex James, formerly of Allstate Financial Services, Under Investigation by FINRA for Undisclosed Outside Business Activities

March 24, 2020
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Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry Regulatory Authority…

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Joe Henehan Resigns from Hornor, Townsend & Kent After Failing to Disclose Tax Liens

March 12, 2020
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Joe Henehan (CRD#: 1344245), a former broker with Hornor, Townsend & Kent, LLC (CRD#: 4031) in San Bernardino, California, has been permitted to resign from the firm after the company…

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