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Recent Blogs
Ed Baroncini: Excel Wealth Adviser Involved in ETF Disputes
Ed Baroncini (CRD# 3043354), a broker registered with LPL Financial, is involved in investor disputes alleging that supervisory failures caused more than $1 million in
Joao Pinto Sanctioned over High Frequency Trading
Joao Pinto (CRD# 6298233), a broker registered with Spartan Capital Securities, recommended unsuitable transactions in a retired customer’s account, according to a recent disciplinary action.
Robert DeChick Allegedly Over-Concentrated Investments
Robert DeChick (CRD# 4152582), a broker registered with D.H. Hill Securities, misrepresented and recommended unsuitable investments, according to investor disputes. MDF Law is currently investigating
William Weisbrod Barred over Allegedly Risky Strategy
William Weisbrod (CRD# 812664), formerly a broker registered with Purshe Kaplan Sterling, breached his fiduciary duties, according to a recent disciplinary action. MDF Law is
Rod Potratz Involved in Suitability Disputes
Rod Potratz (CRD# 2367896), a broker registered with Osaic Wealth, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Clive, Iowa-based financial
Sara Qazi: FINRA Suspends Raymond James Broker
Sara Qazi (CRD# 4118177), a broker registered with Raymond James & Associates, participated in an unapproved private securities transaction, according to a disciplinary action. MDF
Jennifer Basey Allegedly Paid Customers over Trading Complaint
Jennifer Basey (CRD# 4730054), a broker registered with American Global Wealth Management, resigned from Stifel Nicolaus & Company after acknowledging that she paid cash to
Viqas Akhtar Allegedly Made Excessive, Unauthorized Trades
Viqas Akhtar (CRD# 5624412), a broker registered with B. Riley Wealth Management, made unauthorized and excessive trades, according to an investor dispute. MDF Law is
Todd Coates Involved in 6-Figure Suitability Dispute
Todd Coates (CRD# 2453725), a broker registered with Securities America, is involved in an investor dispute alleging unsuitable recommendations. MDF Law is investigating the Tyler,
Sean Zhang Embroiled in Suitability Disputes
Sean Zhang (CRD# 5050282), formerly a broker registered with Wells Fargo, is involved in several investor disputes alleging unsuitable recommendations. MDF Law is investigating the
Marc Hallick Involved in $6.5 Million Dispute
Marc Hallick (CRD# 4652410), a broker registered with Raymond James & Associates, made unsuitable sales on margin, according to an investor dispute. MDF Law is
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
Keith Curtis (CRD# 4798755), formerly a broker registered with Aegis Capital, refused to cooperate with an investigation into whether he converted funds, according to an