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Richard Bernstein: Complaints Against Nevada, California Wells Fargo Advisor

By Chase Carlson |

Investor complaints against Wells Fargo broker and investment advisor Richard Bernstein (CRD# 1113777) allege conduct including false representations, suitability violations, unauthorized trading, and more by the Incline Village, Nevada and Los Angeles, California-based representative. Mr. Bernstein has been registered with the firm since 2015, according to information drawn from the Financial Industry Regulatory Authority…. Read More »

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Jeffrey Smith: Complaints Against Michigan Merrill Lynch Advisor

By Chase Carlson |

Investor complaints against Merrill Lynch broker and investment advisor Jeffrey Smith (CRD# 1908011) allege conduct including misrepresentation, suitability violations, unauthorized trading, and more by the Farmington Hills, Michigan-based representative. One such complaint reached a settlement of $1.1 million. Mr. Smith has been registered with that office since 1989, according to information drawn from the… Read More »

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Timothy Augustin: $2.4 Million Complaint Against Former Western International Broker

By Chase Carlson |

Pending investor complaints against former Western International Securities broker and investment advisor Timothy Augustin (CRD# 5283043) allege conduct including fraud, suitability violations, sales of unregistered securities, negligence, and more. One such complaint alleges damages of more than $2.4 million. The former Washington, DC-based representative is currently not registered as a broker, according to information… Read More »

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Eric Weschke: $200,000 Complaint Against Kalos Advisor

By Chase Carlson |

Investor complaints against Kalos Capital broker and investment advisor Eric Weschke (CRD# 4697621) allege conduct including suitability violations, breach of fiduciary duty, negligence, and more by the New York, New York-based representative. He has also received sanctions by securities regulators, according to information drawn from Financial Industry Regulatory Authority records. Eric Weschke allegedly advised… Read More »

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Peter Viglione: Former Laidlaw Broker Receives Complaints

By Chase Carlson |

Investor complaints against former Laidlaw & Company broker Peter Viglione (CRD# 4697621) allege conduct including suitability violations, misrepresentation, unauthorized trading, and more by the New York, New York-based representative. One such complaint alleges damages of $200,000. He is currently registered with Network 1 Financial, where he has been employed since June 2019, according to… Read More »

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Michael Fasciglione: Former National Securities Broker Receives Complaints, Suspension

By Chase Carlson |

Investor complaints against the former National Securities Corporation broker Michael Fasciglione (CRD# 1806486) allege conduct including suitability violations, breach of fiduciary duty, and negligence by the Bayside, New York-based representative. One such complaint alleges damages of $467,000, while another reached a settlement of $525,000. His disclosure history also contains a suspension by the Financial… Read More »

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Robert Clarke: Complaints Against Texas Broker

By Chase Carlson |

Investor complaints against Austin, Texas broker Robert Clarke (CRD#: 735940) allege conduct including suitability violations, supervisory failures, negligence, improper margin use, and other activity undertaken at Ross Sinclaire & Associates and other firms. He is employed with National Alliance Securities in Austin, Texas, where he has been registered since 2017, according to information drawn… Read More »

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Richard Reynolds: Complaints, Sanctions Against New York Worden Broker

By Chase Carlson |

Investor complaints against Melville, New York broker Richard Reynolds (CRD#: 2162706) allege conduct including suitability violations, supervisory failures, negligence, improper margin use, and other activity undertaken at Worden Capital Management and other firms. He has also been the subject of two disciplinary actions undertaken by state securities regulators, according to information drawn from Financial… Read More »

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Gregory Dean: Ex-Worden Advisor Receives Complaints, SEC Sanctions

By Chase Carlson |

Investor complaints against the former Rockville Center, Maryland advisor Gregory Dean (CRD# 4922996) allege conduct including suitability violations, supervisory failures, excessive trading, and other activity undertaken at his former member firm, Worden Capital Management. He was also recently barred by the Securities and Exchange Commission from associating with any any broker, dealer, investment adviser,… Read More »

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Jon Freeze: Complaints, Sanctions Against Ex-Fortune Financial Services Advisor

By Chase Carlson |

Investor complaints against the former Canonsburg, Pennsylvania advisor Jon Freeze (CRD# 2642023) allege conduct including suitability violations and investments sold away from his former firm, Fortune Financial Services. One such complaint alleges damages of $370,000. Freeze was employed with Fortune Financial Services in Canonsburg until 2017, when the Financial Industry Regulatory Authority sanctioned and… Read More »

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Latest Blog Posts
  • Richard Bernstein: Complaints Against Nevada, California Wells Fargo Advisor

    Investor complaints against Wells Fargo broker and investment advisor Richard Bernstein (CRD# 1113777) allege conduct including false representations, suitability violations,...

    Read More
  • Jeffrey Smith: Complaints Against Michigan Merrill Lynch Advisor

    Investor complaints against Merrill Lynch broker and investment advisor Jeffrey Smith (CRD# 1908011) allege conduct including misrepresentation, suitability violations, unauthorized...

    Read More
  • Timothy Augustin: $2.4 Million Complaint Against Former Western International Broker

    Pending investor complaints against former Western International Securities broker and investment advisor Timothy Augustin (CRD# 5283043) allege conduct including fraud,...

    Read More
  • Eric Weschke: $200,000 Complaint Against Kalos Advisor

    Investor complaints against Kalos Capital broker and investment advisor Eric Weschke (CRD# 4697621) allege conduct including suitability violations, breach of...

    Read More
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