Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private...
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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 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 »
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, 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 »
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 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 »
Peter Viglione: Former Laidlaw Broker Receives Complaints
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 »
Michael Fasciglione: Former National Securities Broker Receives Complaints, Suspension
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 »
Robert Clarke: Complaints Against Texas Broker
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 »
Richard Reynolds: Complaints, Sanctions Against New York Worden Broker
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 »
Gregory Dean: Ex-Worden Advisor Receives Complaints, SEC Sanctions
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 »
Jon Freeze: Complaints, Sanctions Against Ex-Fortune Financial Services Advisor
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 »
William Ornstein: Complaints Against Florida GMS Group Broker
Investor complaints against Boca Raton, Florida broker William Ornstein (CRD#: 500470) allege conduct including negligence, breach of fiduciary duty, false representations, fraud, and other activity undertaken at firms including The GMS Group. One such complaint seeks $100,000 in damages. He has been employed at that firm’s Boca Raton location since 2001, according to information… Read More »
