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Recent Blogs
Evan Katz Settles SEC Fraud Charges: Crawford Ventures
Evan Katz (CRD# 5848403), formerly a broker registered with Stonehaven, defrauded prospective investors in the Crawford Ventures Absolute Return Fund, according to a recent sanction.
William Campbell Suspended over Oil & Gas LP Allegations
William Campbell (CRD# 1180015), formerly a broker registered with David Lerner Associates, recommended unsuitable oil and gas limited partnerships, according to a recent sanction. MDF
Ray Anthony, Arete Broker, Allegedly Breached Duties
Ray Anthony (CRD# 4565686), a broker registered with Arete Wealth Management, misrepresented investments, according to a recent investor complaint. MDF Law is investigating the Sunrise,
Ryan Caldwell Allegedly Made Unauthorized Trades
Ryan Caldwell (CRD# 6642132), formerly a broker registered with Morgan Stanley, made unauthorized trades, according to an investor dispute. MDF Law is investigating the Cold
Mario Payne Allegedly Concentrated Investments
Mario Payne (CRD# 5445757), formerly a broker registered with Raymond James, is involved in multiple disputes alleging that he recommended unsuitable, concentrated investments. MDF Law
Jack Bailey, Bailey & Company Broker, Investigated by FINRA
Jack Bailey (CRD# 5708044), a broker registered with Bailey & Company Securities, failed to disclose private securities transactions, according to a FINRA investigation. MDF Law
Evan Adelglass, LPL Broker, Allegedly Sold Unsuitable Investments
Evan Adelglass (CRD# 2392225), a broker registered with LPL Financial, allegedly made unsuitable investment recommendations, according to recent investor disputes. MDF Law is investigating the
Jason Kimber, JW Cole Broker, Involved in Fraud Allegations
Jason Kimber (CRD# 6244188), a broker registered with JW Cole Financial, was allegedly involved in or benefited from a former partner’s fraud, according to investor
Brendan Kelly, IFP Broker, Involved in Suitability Disputes
Brendan Kelly (CRD# 2208036), a broker registered with IFP Securities, made unsuitable investment recommendations, according to a recent investor dispute. MDF Law is investigating the
Kittiany Davis Barrios Barred by FINRA
Kittiany Davis Barrios (CRD# 6941840), formerly a broker registered with PFS Investments, refused to cooperate with an investigation, according to a recent sanction. MDF Law
Kimberly Clark, Former Ameriprise Broker, Barred by FINRA
Kimberly Clark (CRD# 4312757), formerly a broker registered with Ameriprise Financial Services, refused to cooperate with an investigation into alleged misuse of funds, according to
Ken Judd Barred After Resigning from Valkyrie Equities
Ken Judd (CRD# 7110607), formerly a broker registered with Valkyrie Equities, refused to cooperate with an investigation into his activities. MDF Law is currently investigating