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Recent Blogs
Did You Invest with BKCoin Management?
On March 6, 2023, the Securities and Exchange Commission (SEC) announced action against Miami-based investment adviser BKCoin Management LLC and one of its principals, Kevin
Stiefel’s Chuck Roberts Involved in $1 Million Complaint
On October 24, 2022, FINRA reported that Stiefel Nicolaus broker Chuck Roberts (CRD #2064602) was involved in a customer dispute involving $1 million. If you
Azmi Sharif Terminated by LPL Over Outside Business Activities
On December 20, 2022, LPL Financial announced it terminated Azmi Sharif (CRD # 2343413). Mr. Sharif previously worked for LPL Financial in Elmhurst, Illinois. He
Pennsylvania Advisors Kevin Kane and Sean Kane Charged with Fraud by the SEC
MDF Law announces recovery options for victims of Pennsylvania based financial advisors Kevin Kane and Sean Kane. The father and son team had recently been
Ross Berman Fired by Merrill Lynch in Florida
On February 15, 2023, Merrill Lynch ended its associated with Florida broker Ross Berman (CRD #4355980) and reported details of the termination to the Financial
Raymond James’s Colin Seibert Involved in New Customer Arbitration
Colin Seibert (CRD #2710335), based in Houma, Louisiana is involved in a new investor dispute concerning oil and gas investments. Seibert has been licensed with
Terrance Reagan Charged by SEC over Excessive Commissions
The Securities and Exchange Commission charged former brokers Terrance Reagan (CRD #2672751) & Nate Clay (CRD #4525541) with violating the Securities and Exchange Act. The
Moloney Securities’ Jeff Morris Involved in Four Investor Complaints
Jeff Morris (CRD #2478499), a broker registered with Moloney Securities in Estes Park, Colorado is involved in four pending customer complaints. This information is according
Jeff Bishop Fired by Principal Securities over Trading Practices
On January 10, 2023, Jeff Bishop (CRD # 2879349) was discharged from Principal Securities, Inc. in Crest Hill, Illinois. This is according to his public
LPL’s Robert Li Involved in Second Investor Complaint
Robert Li (CRD # 4068255) is the subject of a second customer complaint concerning the use of margin, according to records accessed from the Financial
T-Mobile Data Breach Exposes Customers to SIM Swap Fraud
If you were a victim of a T-Mobile hack, call our law firm at 800-767-8040 for a free and confidential case consultation from an attorney.
Predictive AI Algorithm Identifies Individuals Associated with Wells Fargo Who are Statistically More Likely to be Involved in Investor Disputes
MDF Law’s report was gathered using publicly available data that can be accessed through FINRA’s BrokerCheck tool. The report analyzed data as of January 3,