Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Paris Lewis, Former Broker with NYLife Securities. Terminated for Borrowing Money from a Customer

March 9, 2020
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Paris Lewis (CRD#: 2335964) has been terminated from his role as a broker with NYLife Securities LLC, according to his BrokerCheck record accessed on March 3, 2020. What happened to…

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Andy Grant, of Laidlaw & Company (UK) Ltd., Suspended from the Securities Industry

February 28, 2020
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Andy Grant (CRD#: 2709882), a registered representative with Laidlaw & Company (UK) Ltd. in Melville, NY (CRD#: 119037), has been suspended from the securities industry by the Financial Industry Regulatory…

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Johnny Guan, of Aegis Capital Corp., Involved in Pending Customer Dispute Over Suitability and Overconcentration

February 6, 2020
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Johnny Guan (CRD#: 5711977), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a client…

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Jerry Wells, New York Broker, Suspended from the Securities Industry Over Variable Annuity Misrepresentations

January 30, 2020
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Jerry Wells (CRD#: 1015358), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Rochester, New York, has been suspended from the securities industry by the Financial Industry Regulatory Authority…

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Bart Bohrer, of Calton & Associates, Involved in Three Pending Customer Dispute Totalling Over $900,000

January 23, 2020
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  Bart Bohrer (CRD#: 4315654), a registered representative with Calton & Associates, Inc. (CRD#: 20999) in Tampa, Florida, is currently involved in three pending customer disputes totalling over $900,000, according…

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Moe Azizi, Registered Rep with Centaurus Financial, Involved in Customer Dispute Over Unsuitable Investments

November 27, 2019
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Moe Azizi (CRD#: 2154719), a broker with Centaurus Financial, is currently involved in a customer dispute over unsuitable investments, according to his BrokerCheck report accessed on October 24, 2019. If…

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Joseph Pratt, Former Pennsylvania Broker, Barred by FINRA for Alleged Insider Trading

November 27, 2019
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Joseph Pratt (CRD#: 719416), formerly a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793), has been barred by FINRA for alleged insider trading, according to his BrokerCheck report…

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Richard Pittman, Registered Rep with Cetera Advisors, Involved in $150,000 Dispute Over Suitability

November 6, 2019
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Richard Pittman (CRD#: 2845145), a registered representative with Cetera Advisors LLC in Memphis, Tennessee, is currently involved in a pending customer dispute in which a client alleges that Richard Pittman…

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Former Broker Kevin Fretz of South Windsor, Connecticut Terminated from LPL for Keeping Blank Forms Pre-Signed by Customers

November 6, 2019
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Kevin Fretz (CRD#: 4128808), a former registered representative with LPL Financial LLC (CRD#: 6413), was terminated from his job on September 12, 2019. According to his BrokerCheck report accessed on…

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Texas Financial Advisor Yvonne Silguero Involved in $500,000 Dispute Over Misrepresentation

October 10, 2019
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Yvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck…

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