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Recent Blogs
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Jihoon Park, Former MML Broker, Allegedly Converted Funds
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Jamie Nowakowski Allegedly Sold Unsuitable Investments
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Jack Thacker, Realta Adviser, Involved in Suitability Disputes
Jack Thacker (CRD# 2754773), an investment adviser registered with Realta, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Bristol, Virginia-based representative,
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Jason Lamb, Arete Broker, Allegedly Sold Unsuitable Investments
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Tim Hemingway Suspended over ETN Recommendations
Tim Hemingway (CRD# 5013252), a broker registered with Smith Brown & Groover, improperly recommended an exchange-traded note, according to a recent disciplinary action. MDF Law
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Hal Klein, NewEdge Broker, Suspended over Customer Signatures
Hal Klein (CRD# 1021759), formerly a broker registered with NewEdge Securities, improperly signed customer signatures, according to a disciplinary action. MDF Law is investigating the
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Eric Felsenfeld, Ameriprise Broker, Involved in GWG Disputes
Eric Felsenfeld (CRD# 4496689), a broker registered with Ameriprise Financial, misrepresented investments in GWG, according to investor disputes. MDF Law is investigating the Rockville, Maryland-based
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Micah Rayner, Arete Broker, Involved in Suitability Disputes
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Brent Fuchs, Osaic Broker, Allegedly Sold Oil & Gas Investments
Brent Fuchs (CRD# 4269916), a broker registered with Osaic Wealth, recommended unsuitable oil and gas investments, according to investor disputes. MDF Law is investigating the
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Billy Aycock, Cabin Securities Broker, Involved in GWG Disputes
Billy Aycock (CRD# 4069907), a broker registered with Cabin Securities, is involved in numerous disputes stemming from investments in GWG L Bonds, REITs, and other
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Chris Gallo, Joseph Stone Broker, Suspended by FINRA
Chris Gallo (CRD# 6045888), a broker registered with Joseph Stone Capital, recommended excessive transactions to retail customers, according to a disciplinary action. MDF Law is