March 2020-Scottsdale, AZ We are investigating former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreFebruary 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…
read moreFebruary 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) , a stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a pending…
read moreNovember 2018 We are investigating options for recovery of damages for investors who may have suffered losses on the following : Global Credit Recovery Delmarva Capital DeVille Asset Management Rhino…
read moreSeptember 2021- Lafayette, LA The FINRA records of Wesley Kyle Perkins , a former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments , disclose that he is…
read moreOctober 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele (CRD#3227494) , a stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS) a/k/a Aurora Private Wealth or…
read moreMay 2018- Staten Island, NY According to FINRA records, former stockbroker Laurence M. Torres discloses 2 pending and 4 prior customer disputes. Torres, who worked for First Standard Financial Company and Alexander Capital,…
read moreAugust 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…
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