INVESTORS: Former LPL Financial broker Paul Richard McGonigle was indicted on one count of fraud and two counts of money laundering. Paul Richard McGonigle (CRD:[...]
Broker / Advisor Investigations
INVESTORS: Former Hilltop Securities broker Dennis Phillip Ayre was barred by FINRA following his refusal to appear for testimony requested by FINRA in connection with[...]
Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading
INVESTORS: Wells Fargo broker Todd Michael Hayse was named in a customer dispute alleging that he made unauthorized trades. Todd Michael Hayse (CRD#:5365176) is registered[...]
INVESTORS: Former Morgan Stanley broker Darryl Cohen is facing multiple pending customer disputes alleging misrepresentation. Darryl Cohen (CRD#: 2786613) was registered as a broker with[...]
INVESTORS: Former Edward Jones broker Ronald Scott Bright was suspended by FINRA for 15 days following allegations that he exercised discretion in customer accounts without[...]
INVESTORS: Charles Schwab broker Mark Lee Elafros was named in customer dispute alleging unsuitable investment recommendations Mark Lee Elafros (CRD#: 2337393) is registered as a[...]
INVESTORS: Former Ameriprise Financial broker Dinu Marian Tise was suspended by FINRA following allegations of unethical actions. Dinu Marian Tise (CRD#: 4609240) was registered as[...]
INVESTORS: Stifel, Nicolaus & Company broker Joel Paul Kichline was fined $5,000 by FINRA following allegations that he exercised discretion on 1,519 occasions in five[...]
INVESTORS: Former LPL Financial broker Scott Michael Bremus was discharged following allegations that he facilitated private securities transactions without Firm approval. Scott Michael Bremus (CRD#:[...]
INVESTORS: Morgan Stanley broker Michael John Wagner is facing two pending customer disputes alleging unsuitable investment recommendations and misrepresentation. Michael John Wagner (CRD#:4465334) is registered[...]