Over $100 Million of Investors' Losses Recovered
Securities Law Attorneys Blog
Clyde Jensen (CRD #: 5658476), a Tampa, Florida broker registered with TD Private Client Wealth, is the subject of a FINRA regulatory action, according to his BrokerCheck record, accessed on…
Continue ReadingKurt Baldry (CRD #: 1568930), a broker registered with Ausdal Financial Partners, is involved in two pending disputes, according to his BrokerCheck record, accessed on February 23, 2021. Both involve…
Continue ReadingKirk Pickell (CRD #: 2294187), a broker and investment adviser registered with Janney Montgomery Scott, is involved in a $10,000,000 investor dispute, according to his BrokerCheck record, accessed on January…
Continue ReadingBryon Martinsen (CRD #: 1621649), a broker registered with Centaurus Financial, has three pending investor disputes regarding suitability, according to his BrokerCheck record, accessed on January 8, 2020. These three…
Continue ReadingRoderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on…
Continue ReadingChad 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…
Continue ReadingSylvester 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…
Continue ReadingChristopher 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…
Continue ReadingGregory 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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