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 Law is investigating the former Orcutt, California-based financial professional for similar conduct. Investors with concerns should call us as soon as possible. More information about the allegations against Ms. Darrah […]
Rocco Maselli Involved in 6-Figure Dispute
Rocco Maselli (CRD# 2791357), a broker registered with VCS Venture Securities, violated federal securities law, according to allegations made in a recent investor dispute. MDF Law is currently investigating the Garden City, New York financial professional for similar alleged conduct, and investors with concerns should contact our law firm immediately. If you lost money investing […]
Linda Wimsatt: GWG L Bond Disputes Seek 6 Figures
Linda Wimsatt (CRD# 1401802), a broker registered with American Trust Investment Services, is embroiled in five investor disputes relating to investments in GWG L Bonds. These disputes can be found in her BrokerCheck profile, a Financial Industry Regulatory Authority (FINRA) record accessed on August 2, 2023. As it reflects, she does business under the brand […]
FINRA Bars Kevin Cory, Alleges Fake Account Statements
Kevin Cory (CRD# 1716966), formerly a broker registered with R.F. Lafferty & Company, provided misleading information to his customers regarding their investment, according to a recent sanction. This sanction can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile, accessed on July 31, 2023. Additional information about the former New York City financial […]
Anthony Pitta’s Clients File More GWG L Bond Complaints
Anthony Pitta (CRD# 1958029), a broker registered with Capital Investment Group, is embroiled in investor disputes stemming from investments in GWG Holdings. These disputes can be found in his BrokerCheck profile, a Financial Industry Regulatory Authority (FINRA) record accessed on July 27, 2023. This record notes that the Melville-based financial professional does business under the […]
Moloney Broker Jack Hebner Involved in More Investor Disputes
Jack Hebner (CRD# 3258824), a broker registered with Moloney Securities and doing business under the brand Sentinel Wealth Management, is embroiled in disputes alleging he was negligent in his duties. These disputes can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile, accessed on July 19, 2023. The details of the allegations against […]
Nathan Paulson Allegedly Caused $5 Million Damages
Nathan Paulson (CRD# 4799867), an investment adviser registered with Paulson Wealth Management, is involved in an investor dispute seeking damages of $5 million. This dispute can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 12, 2023, which notes that the former APW Capital broker is based in Wheaton, Illinois. […]
Liberty Wealth’s Greg Richards Involved in Multiple Complaints
Greg Richards (CRD# 1339012), a broker registered with Kingswood Capital Partners, allegedly recommended illiquid investments that led to six-figure damages, according to investor disputes. These disputes are disclosed on his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, a public record accessed on June 30, 2023. The Scottsdale, Arizona broker is also the owner of Liberty […]
Landolt’s Jason Slezak Involved in GWG L Bond Dispute
Jason Slezak (CRD# 2423323), a broker registered with Landolt Securities, allegedly sold an unsuitable GWG L Bond investment. This allegation can be found in his Financial Industry Regulatory (FINRA) BrokerCheck report, accessed on July 7, 2023. According to that record, the Antioch, Illinois-based financial professional has been involved in several investor disputes. GWG L Bond […]
Center Street’s Glenn Romer: GWG L Bond Disputes
Glenn Romer (CRD# 4841915), a broker registered with Center Street Securities, is involved in customer disputes. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 6, 2023, he is registered with his firm’s office in Vero Beach, Florida, and does business under the brand “Glenn J. Romer Wealth Management and Tax […]