November 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreJuly 2021 – Greenlawn, NY The FINRA records of Christopher Anthony Fernan , a currently unregistered stockbroker who was last employed by Salomon Whitney Financial , disclose 2 regulatory events, a criminal event, 1 pending customer…
read moreJuly 2019 – Irvine, CA According to publicly available records William A. Shopoff (CRD#1273471) , a stockbroker who is currently registered with Shopoff Securities Inc., disclose a pending regulatory event , 2…
read moreJuly 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
read moreMay 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…
read moreMay 2019 According to publicly available records Laidlaw & Company (UK) Ltd. , a FINRA registered broker dealer discloses 5 prior regulatory events and 2 prior customer arbitrations. The Financial…
read moreFebruary 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…
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