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Recent Blogs

Shawn Weadock Involved in $1.6 Million Investor Dispute
Shawn Weadock (CRD# 2602704), a broker registered with Alexander Capital, committed fraud, according to a seven-figure investor dispute. MDF Law is investigating the Red Bank,

Michael Romano Involved in Suitability Disputes
Michael Romano (CRD# 734293), formerly a broker registered with Arete Wealth Management, has been involved in more than a dozen investor disputes alleging unsuitable investment

Scott Meador, UBS Broker, Involved in $1 Million Dispute
Scott Meador (CRD# 2202512), a broker registered with UBS Financial, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Naples, Florida-based financial

Chris Campbell Allegedly Misrepresented Investment
Chris Campbell (CRD# 5597534), a broker registered with Raymond James Financial Services, is involved in investor disputes alleging misrepresentation. MDF Law is investigating the Buffalo,

Robert Kully Involved in Suitability Disputes
Robert Kully (CRD# 3212528), formerly a broker registered with Western International Securities, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the former

Raymond Smith Suspended over ETN Strategy
Raymond Smith (CRD# 731506), a broker registered with Smith Brown & Groover, failed to supervise the recommendation of exchange-traded notes, according to a recent disciplinary

John Openshaw Allegedly Sold Unsuitable REITs
John Openshaw (CRD# 2306112), formerly a broker registered with KCD Financial, sold unsuitable REITs, according to an investor dispute. MDF Law is investigating the former

Stan Swinson Involved in REIT Disputes
Stan Swinson (CRD# 802756), formerly a broker registered with Wells Fargo, recommended unsuitable REITs, according to investor disputes. MDF Law is investigating the former Raleigh,

Shannon Roehrs Allegedly Made Unauthorized Trades
Shannon Roehrs (CRD# 4359877), a broker registered with Merrill Lynch, engaged in unauthorized trading, according to an investor dispute. MDF Law is currently investigating the

Joe Muller, CP Wealth Broker, Involved in Suitability Disputes
Joe Muller (CRD# 6092175), a broker registered with Moloney Securities, recommended unsuitable investments, according to multiple investor disputes. MDF Law is investigating the Manchester, Missouri-based

Eric Cobb, SeaCrest Wealth Named in SEC Charges
Eric Cobb (CRD# 2623064), formerly an investment adviser registered with SeaCrest Wealth Management, engaged in a fraudulent cherry-picking scheme, according to recent charges. MDF Law

Mary Beslagic Suspended over Mutual Fund Investments
Mary Beslagic (CRD# 5966835), formerly a broker registered with Edward Jones, recommended an inappropriate investment, according to an investor dispute and a regulatory sanction. MDF