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Recent Blogs
Julie Darrah: SEC Charges Allege $2 Million Fraud
Julie Darrah (CRD# 2102014), formerly an investment adviser with Vivid Financial Management, misappropriated millions in customer funds, according to Securities and Exchange Commission charges. MDF
Kevin Adam Allegedly Misrepresented Annuity
Kevin Adam (CRD# 2393993), a broker registered with Cetera Advisors, breached his fiduciary duty to place his clients’ interests above his own, according to a
Tyler Camp Allegedly Misrepresented Variable Annuity
Tyler Camp (CRD# 6002124), a broker registered with MML Investors Services, misrepresented a variable annuity investment, according to a dispute contained on his Financial Industry
Marty Valade Involved in Excessive Trading Dispute
Marty Valade (CRD# 1532673), a broker registered with Woodbury Financial Services, is embroiled in an investor dispute alleging excessive trades. MDF Law is investigating the
Gus Rodrigo: FINRA Suspends Sutter Securities Broker
Gus Rodrigo (CRD# 3031284), a broker registered with Sutter Securities and Boustead Securities, made unauthorized trades in a customer’s account, according to a Financial Industry
Josh Baker: Variable Annuity Dispute Seeks $5 Million
Josh Baker (CRD# 5230762), a broker registered with MML Investors Services, allegedly engaged in conduct that led to 7-figure damages, according to Financial Industry Regulatory
FINRA Suspends MML Broker Tony Cross
Tony Cross (CRD# 3155726), an MML Investors Services broker, made unauthorized trades, according to a regulatory action suspending him from acting as a broker. MDF
Paris Lewis Involved in Variable Annuity Dispute
Paris Lewis (CRD# 2335964), formerly a broker registered with NYLife Securities, is involved in an investor dispute stemming from a variable annuity investment. MDF Law
Patrick Cavanagh Suspended over 6-Figure Arbitration Award
Patrick Cavanagh (CRD# 5186630), formerly a broker registered with Spartan Capital Securities, failed to comply with an arbitration award, according to a recent Financial Industry
Andrew Pesner Embroiled in 6-Figure Negligence Complaint
Andrew Pesner (CRD# 1971579), a broker registered with VCS Venture Securities, recommended an unsuitable stock investment, according to investor allegations. MDF Law is conducting an
Yudi Rosenzweig Involved in 6-Figure Annuity Dispute
Yudi Rosenzweig (CRD# 4110421), a broker registered with MML Investors Services, is involved in an investor dispute seeking six-figure damages. MDF Law is investigating the
Kevin Springstead Allegedly Churned Investments
Kevin Springstead (CRD# 4937429), formerly a broker registered with Craft Capital Management, churned investments and used margin without authorization, according to an October 24, 2023