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Author Archives: chase@carlson-law.com

Brian Marston: $1.7MM Real Estate Complaint Against Woodbury Rep

By Chase Carlson |

Greenwood Village, Colorado stockbroker and investment adviser Brian Marston (CRD# 733083) is involved in pending investor disputes. According to the Financial Industry Regulatory Authority, Marston is currently a representative of Woodbury Financial Services, where he has been registered since 2006. 

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$3MM Complaint Against Elm Grove Rep Timothy Bartelt

By Chase Carlson |

Raymond James stockbroker Timothy Bartelt (CRD# 2501532) is the subject of an investor complaint alleging $3 million in damages. According to the Financial Industry Regulatory Authority, Bartelt is based in the firm’s branch office in Elm Grove, Wisconsin and the complaint against him is still pending.

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Michael Shillin: SEC Files SpaceX Charges Against Ex-AGP Rep

By Chase Carlson |

Former Altoona stockbroker and investment adviser Michael Shillin (CRD# 5927156) has been named in charges by the Securities and Exchange Commission alleging he deceived his investors. According to the Financial Industry Regulatory Authority, the former Alliance Global Partners representative has also received investor complaints, both pending and settled.  Michael Shillin’s BrokerCheck report lists 21… Read More »

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Foresight Energy Complaints Against Beverly Hills Rep Dennis Ayre

By Chase Carlson |

Former Hilltop Securities stockbroker Dennis Ayre (CRD# 5365176) has been named in an investor complaint alleging $5 million in losses. The securities professional was previously based in Beverly Hills, California, according to Financial Industry Regulatory Authority records. He is not currently registered as a broker or as an investment adviser.  There are currently four… Read More »

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Jeffrey Cohen: $2MM Complaint Against Manchester-Based Moloney Rep

By Chase Carlson |

Moloney Securities stockbroker Jeffrey Cohen (CRD# 2528929) has received investor complaints alleging he sold unsuitable alternative investments. According to the Financial Industry Regulatory Authority, an entity overseeing broker-dealer firms, Mr. Cohen is associated with Moloney’s branch office in Manchester, Missouri. 

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Recent Complaints Against Ex-NYC Worden Rep Gregory Bodkin

By Chase Carlson |

Gregory Bodkin (CRD# 3008389), previously a stockbroker registered with Worden Capital Management, has received several pending customer complaints. Financial Industry Regulatory Authority records reveal that the former New York City representative is no longer registered as a broker.

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Glen Ellyn Rep Charles Kiker Allegedly Caused 7-Figure Losses

By Chase Carlson |

Commonwealth Financial Network stockbroker and adviser Charles Kiker (CRD# 2402823) has received a customer complaint alleging more than $4 million in damages. According to the Financial Industry Regulatory Authority, or FINRA, Kiker is located in Glen Ellyn, Illinois. 

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John Woods: $3 Million in Pending Complaints Against Oppenheimer Rep

By Chase Carlson |

Former Atlanta stockbroker and investment adviser John Woods (CRD# 1949233) has received pending customer complaints alleging more than $3 million in damages connected to an alleged Ponzi scheme. Financial Industry Regulatory Authority (FINRA) records show that Woods was previously registered with Oppenheimer & Company.

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Michael Leahy: Red Bank Rep Barred Over Alleged Supervisory Failures

By Chase Carlson |

Former First Standard Financial Company broker Michael Leahy (CRD# 1899498) has been barred by the Financial Industry Regulatory Authority (FINRA) from acting in any principal capacity, according to FINRA records. Leahy was most recently associated with the firm’s branch office in Red Bank, New Jersey. Michael Leahy’s BrokerCheck report lists two regulatory actions against… Read More »

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Ex-LPL Broker John Scott Sanctioned, Barred

By Chase Carlson |

Former Phoenix, Arizona broker and investment adviser John Scott (CRD# 2407610) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he participated in undisclosed outside business activities and private securities transactions. Scott was most recently associated with LPL Financial in Phoenix. According to a Letter of Acceptance, Waiver and… Read More »

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  • Brian Marston: $1.7MM Real Estate Complaint Against Woodbury Rep

    Greenwood Village, Colorado stockbroker and investment adviser Brian Marston (CRD# 733083) is involved in pending investor disputes. According to the...

    Read More
  • $3MM Complaint Against Elm Grove Rep Timothy Bartelt

    Raymond James stockbroker Timothy Bartelt (CRD# 2501532) is the subject of an investor complaint alleging $3 million in damages. According...

    Read More
  • Michael Shillin: SEC Files SpaceX Charges Against Ex-AGP Rep

    Former Altoona stockbroker and investment adviser Michael Shillin (CRD# 5927156) has been named in charges by the Securities and Exchange...

    Read More
  • Foresight Energy Complaints Against Beverly Hills Rep Dennis Ayre

    Former Hilltop Securities stockbroker Dennis Ayre (CRD# 5365176) has been named in an investor complaint alleging $5 million in losses....

    Read More
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