Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Roderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy

September 18, 2020
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Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on…

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Jeffrey Weiner, Pruco Registered Rep, Involved in Two Investor Disputes Over VULs

July 30, 2020
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Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his BrokerCheck…

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Christopher Vining, Morgan Stanley Rep, Involved in Pending Investor Dispute

July 30, 2020
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Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on…

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Timothy Millis: Ex-NYLife Rep Resigns Over Alleged Unsuitable Mutual Fund Switches

May 22, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a…

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James Bylenga: Ex-LPL Rep Barred by FINRA over Customer Loan Allegations

May 22, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga has been sanctioned by FINRA…

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Earl Midgette: LPL Rep Terminated Over Discretionary Trading Allegations

May 22, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from…

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Philip Noto: $668,000 Pending Complaint Against Suspended Ex-First Standard Rep

May 17, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has…

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John Horseman: REIT Complaint Against LPL Rep

May 17, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending…

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Stephen Trowbridge: Kestra Terminates Rep Over Alleged Policy Violations

May 17, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint…

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Kirk Badii: Suitability Complaint Against UBS Rep

May 17, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending…

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