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Recent Blogs
Merrill Lynch, Harvest Volatility Allegedly Ignored Instructions
Merrill Lynch (CRD# 7691) and Harvest Volatility Management (CRD# 146869) caused customers to pay higher fees and incur losses, according to charges filed by the
Morgan Stanley Bitcoin ETF Complaints
In August, Morgan Stanley allowed its financial advisors to solicit certain clients to invest in exchange-traded Bitcoin funds. According to an August 2024 report by
SEC Files Charges Against First Horizon Advisors
First Horizon Advisors (CRD# 17117) failed to maintain policies reasonably designed to achieve compliance with Regulation Best Interest, according to a Securities and Exchange Commission
Gregory Corrie Allegedly Made Excessive UIT Trades
Gregory Corrie (CRD# 1982814), formerly a broker registered with Cambridge Investment Research, excessively used unit investment trust products, according to allegations by that firm. MDF
Roger Turcotte Suspended by FINRA
Roger Turcotte (CRD# 1180997), a broker registered with Cetera, mismarked order tickets, according to a disciplinary action against him. MDF Law is investigating the Tampa,
Chris Jacobi, Ameriprise Broker, Allegedly Sold Unsuitable Stock
Chris Jacobi (CRD# 1648679), a broker registered with Ameriprise Financial Services, recommended an unsuitable investment, according to a recent dispute. MDF Law is investigating the
Christopher Duffy Involved in Suitability Dispute
Christopher Duffy (CRD# 2515612), a broker registered with Morgan Stanley, implemented an unsuitable strategy, according to an investor dispute. MDF Law is investigating the Red
Brett Butler Allegedly Took Undisclosed Loans
Brett Butler (CRD# 4260239), formerly a broker registered with Pruco Securities, took undisclosed loans from his customers, according to a disciplinary action. MDF Law is
Jason Lowther, Concorde Broker, Allegedly Sold Unsuitable Bonds
Jason Lowther (CRD# 2606268), a broker registered with Concorde Investment Services, recommended an unsuitable bond investment, according to an investor dispute. MDF Law is investigating
Thad Allen, Smith Moore Broker, Involved in Dispute
Thad Allen (CRD# 5644772), a broker registered with Smith Moore & Company, removed funds from a customer’s account to pay a third party, according to
Jeffrey Furniss Allegedly Sold Unsuitable Oil & Gas Investments
Jeffrey Furniss (CRD# 4888498), a broker registered with LPL Financial, recommended unsuitable oil and gas investments, according to recent disputes. MDF Law is investigating the
Bill Carlton & Hans Hernandez Charged in Cherry-Picking Schemes
Bill Carlton (CRD# 1215541) and Hans Hernandez (CRD# 2109614), formerly brokers registered with Cetera Advisors and First Allied Securities, defrauded their customers, according to Securities