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Jonathan Gazdak Involved in 7-Figure Dispute
Jonathan Gazdak (CRD# 5678294), a broker registered with Alexander Capital, breached his duty to his clients, according to investor disputes. MDF Law is investigating the
Mark Martin, Integrity Alliance Broker, Involved in Annuity Dispute
Mark Martin (CRD# 1945626), a broker registered with Integrity Alliance, sold an annuity whose issuer became insolvent, according to an investor dispute. MDF Law is
Don Wells Allegedly Made Unsuitable Recommendations
Don Wells (CRD# 1217316), a broker registered with Realta Equities, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Wilmington, Delaware-based financial
Siobhan Shaughnessy Involved in $1 Million Dispute
Siobhan Shaughnessy (CRD# 5151594), a broker registered with UBS Financial Services, recommended an unsuitable strategy, according to an investor dispute. MDF Law is investigating the
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,