Over $100 Million of Investors' Losses Recovered
Securities Law Attorneys Blog
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…
Continue ReadingDave 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,…
Continue ReadingRicardo 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)…
Continue ReadingTim Vanlohuizen (CRD#: 2166867), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Coeur d’Alene, Idaho, is currently involved in two pending customer disputes, according to his BrokerCheck record…
Continue ReadingAlex 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…
Continue ReadingJoe 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…
Continue ReadingParis 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…
Continue ReadingJohnny 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…
Continue ReadingJerry 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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