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Recent Blogs
Christopher Gordon Allegedly Sold Unsuitable Oil & Gas Products
Christopher Gordon (CRD# 5714224), a broker registered with Centaurus Financial, recommended unsuitable oil and gas investments, according to investor disputes. MDF Law is investigating the
Joe Notarfrancesco Involved in Real Estate Fund Dispute
Joe Notarfrancesco (CRD# 6006136), a broker registered with Morgan Stanley, recommended an outside investment that failed to make payments, according to an investor dispute. MDF
Rick Shaw Allegedly Sold Unsuitable Oil & Gas Products
Rick Shaw (CRD# 1870018), a broker registered with Osaic Wealth, recommended unsuitable oil and gas investments, according to multiple investor disputes. MDF Law is investigating
Michael Cody, Former Pruco Broker, Investigated by FINRA
Michael Cody (CRD# 5056324), formerly a broker registered with Pruco Securities, failed to supervise sales of unsuitable securities, according to an investigation. MDF Law is
Bo Nicholson Involved in GWG L Bond Dispute
Bo Nicholson (CRD# 6050450), a broker registered with Capital Investment Group, violated securities law when selling GWG L Bonds, according to an investor dispute. MDF
Fred Chen Allegedly Misrepresented Investments
Fred Chen (CRD# 5766069), a broker registered with Emerson Equity, misrepresented investments, according to investor disputes. MDF Law is investigating the Irvine, California-based financial professional
LPL Financial Fined $3 Million: E-Signature Allegations
LPL Financial agreed last year to pay a $3 million fine imposed by the Financial Industry Regulatory Authority. According to a Letter of Acceptance, Waiver,
Jeffrey Werdesheim Involved in 6-Figure Dispute
Jeffrey Werdesheim (CRD# 1892046), a broker registered with Oppenheimer & Company, made unsuitable investment recommendations, according to an investor dispute. MDF Law is investigating the
iCap Equity Ponzi Scheme: Options for Investors
A federal judge in Yakima, Washington ruled that iCap Equity operated as a Ponzi scheme, according to a recent report by The Real Deal. In
Peter Goffin Involved in More GWG Disputes
Peter Goffin (CRD# 1617710), previously a broker registered with Newbridge Securities, recommended investments in GWG Holdings that led to losses, according to several investor disputes.
Kyle Chapman Suspended over GWG L Bond Sale
Kyle Chapman (CRD# 6303483), formerly a broker registered with American Trust, unsuitably recommended a GWG L Bond investment, according to a recent enforcement action. MDF
Tammie Farrell Involved in 6-Figure GWG Disputes
Tammie Farrell (CRD# 2475931), a broker registered with Capital Investment Group, violated securities law when recommending investments in GWG Holdings, according to investor disputes. MDF