Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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Paul Koch: Complaint Against RBC Rep Settled for $3.75MM
Wayzata, Minnesota broker and investment adviser Paul Koch (CRD# 1777599) has received an investor complaint that recently settled for a sum exceeding $3 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Koch is currently registered with RBC Capital Markets. According to Paul Koch’s FINRA-maintained BrokerCheck report, a complaint filed in… Read More »
Ed Turley: $23MM Complaint Against JP Morgan Rep
San Francisco broker and investment adviser Ed Turley (CRD# 1872294) has received pending investor complaints alleging cumulative damages of more than $40 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Turley is currently registered with JP Morgan Securities. Ed Turley’s FINRA-maintained BrokerCheck report lists a total of four pending investor… Read More »
Barry Horowitz: $1.2MM Complaint Against Ex-Lincoln Rep
Former Glastonbury, Connecticut broker Barry Horowitz (CRD#: 2651525), who is currently registered as an investment adviser with Financial Resources Group in Glastonbury, has settled or pending customer complaints alleging millions of dollars in damages. Financial Industry Regulatory Authority (FINRA) records show that Horowitz was most recently registered as a broker with Lincoln Financial Securities… Read More »
Jon Freeze Charged in Alleged Alternative Energy Holdings Fraud
Former Canonsburg, Pennsylvania broker and investment adviser Jon Freeze (CRD# 2642023) was recently named in a pending Securities and Exchange Commission enforcement action alleging he participated in a fraud involving a company called Alternative Energy Holdings. Financial Industry Regulatory Authority (FINRA) records show that Freeze is currently not registered as a broker or an… Read More »
Frisco Broker Pamela Lizanich: $1.6 Million Complaint
Financial Industry Regulatory Authority (FINRA) records show that NYLife Securities broker Pamela Lizanich (CRD# 5742762) has received multiple settled or pending investor complaints in recent years, including one that alleges damages of $5 million. Lizanich is currently based in Frisco, Texas. Pamela Lizanich’s BrokerCheck report lists a total of five investor complaints against her:… Read More »
William Keeney: $1.8MM Complaint Against Merrill Lynch Rep
William Keeney (CRD# 3082733), a broker and investment adviser located in Newton, Massachusetts, has received a pending customer complaint alleging damages exceeding $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Keeney is currently registered with Merrill Lynch as a broker and an investment adviser. William Keeney’s BrokerCheck report lists one pending investor… Read More »
Keith Simmons: $8MM Complaint Against Merrill Lynch Rep
Miami, Florida-based broker and investment adviser Keith Simmons (CRD# 730619) has received a pending investor complaint alleging losses of $8 million. According to records provided by the Financial Industry Regulatory Authority (FINRA), Simmons is currently a registered representative of Merrill Lynch. Keith Simmons FINRA-maintained BrokerCheck report lists a total of four customer complaints against… Read More »
Gerald Dewes: $1.7MM Complaint Against Ex-Cadaret Grant Rep
A pending investor complaint against former East Amherst, New York broker Gerald Dewes (CRD# 2465538) alleges he made unsuitable recommendations and committed fraud, resulting in losses as high as $1.7 million. Financial Industry Regulatory Authority (FINRA) records reveal that Dewes is currently not registered as a broker or investment adviser, but was most recently… Read More »
Roberto Fernandez: Miami Rep Allegedly Caused $1.2MM Loss
A pending investor complaint against Miami, Florida broker and investment adviser Roberto Fernandez (CRD# 1404389) alleges losses of more than $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Fernandez is currently registered with Merrill Lynch. Roberto Fernandez’s BrokerCheck report lists one pending customer complaint and three settled customer complaints against him. The… Read More »
David Wachsman: Morgan Stanley Broker Has $1.6MM Complaint
A pending customer complaint against Garden City, New York and Boca Raton, Florida broker and investment adviser David Wachsman (CRD# 2220024) alleges his conduct led to damages of more than $1 million. Financial Industry Regulatory Authority (FINRA) records show that Wachsman is currently a registered representative of Morgan Stanley. The complaint, filed in January… Read More »
