Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

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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Michael Murphy: $22.5 Million Complaint Against Columbus Advisory Group Rep

May 17, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that New York-based Columbus Advisory Group broker Michael Murphy has been named in…

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James Parrelly: $500,000 Complaint Against Investment Planners Rep

April 26, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Michigan-based Investment Planners broker/adviser James Parrelly has received resolved or pending customer…

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Jonathan Freeze: Alternative Energy Holdings Complaints

April 26, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Pennsylvania-based Fortune Financial Services broker/adviser Jonathan Freeze, who is currently not…

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Robert Mueller: Suitability Complaint Against UBS Rep

March 18, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending…

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Neil Konigsberg: Pending Complaint Against UBS Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending…

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