IDEX’s John Mateyko Involved Multiple Investor Disputes
John Mateyko (CRD# 3275621), a broker registered with PeachCap Securities and managing partner of IDEX Financial Group, allegedly misrepresented structured note investments. This is according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, a record accessed on July 3, 2023. The Serenbe, Georgia-based financial professional is involved in several investor disputes. Disputes Concern Bonds, […]
Tim Thelen Accused of Unsuitable GWG L Bond Recommendations
Tim Thelen (CRD# 1924966), a broker registered with American Trust Investment Services, allegedly committed elder abuse, according to a disclosure on his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. This record, accessed on June 22, 2023, identifies Mr. Thelen as a registered representative in San Clemente, California. Tim Thelen Recommended Unsuitable L Bonds In February […]
Investor Seeks $450,000 in New Dispute Involving Money Concept’s Ray Reese
Ray Reese (CRD# 1694620), a broker registered with Money Concepts Capital Corporation, is involved in an investor dispute alleging he misrepresented an investment. This information is disclosed on his BrokerCheck report, a Financial Industry Regulatory Authority (FINRA) record accessed on June 20, 2023. Read further to learn more about the customer disputes involving the Farmington, […]
Recovery Options for American Patriot Brands Investors
MDF Law is interested in speaking to investors of American Patriot Brands, a cannabis cultivation company that was charged with securities fraud by the Securities and Exchange Commission on March 16, 2023. If you invested, please call 800-767-8040 and ask to speak with attorney Marc Fitapelli or Jeffrey Saxon. Recovery Options For Investors If you […]
Did You Invest with BKCoin Management?
On March 6, 2023, the Securities and Exchange Commission (SEC) announced action against Miami-based investment adviser BKCoin Management LLC and one of its principals, Kevin Kang, for allegedly defrauding investors in a crypto asset fraud scheme. BKCoin Management Was a Ponzi Scheme In a complaint filed under seal on February 23, 2023, and unsealed on […]
Current and Former Wells Fargo Brokers with Significant Disclosure Histories
MDF Law releases a report identifying current and former associated persons from Wells Fargo Advisors who have significant disclosure histories. The report analyzed data as of January 3, 2023. Individuals who are included in this report are statistically more likely to be involved in a new customer complaint. See “How Widespread and Predictable is Stock […]
Gemini Earn Suspends Withdrawals: Legal Options?
On November 16, 2022, Gemini Earn paused all withdrawals from its platform, providing little public updates since. According to Gemini’s Website, the pause was due to a “liquidity issue duration mismatch between Genesis’ assets and its liabilities.” In plain English, this means that Genesis, Gemini’s lending partner, heavily borrowed against customer’s assets and is insolvent […]
FINRA Announces Investigation into James Stuart of Richfield Orion International
On October 27, 2022, FINRA announced that it was recommending disciplinary action against James Stuart (CRD 3022149) of Richfield Orion International in Castle Rock, Colorado. The actions related to excessive trading in customer accounts. If you or someone you know lost money investing with James Stuart of Richfield International, please contact our law office at […]
FINRA Releases Information about Recent Broker Terminations
MDF Law is investigating the terminations for cause of the following individuals: Chip Wodrich (formerly of Honor Townsend & Kent), Robert Mehlin (formerly of Coastal Equities, Inc.), Dusty Sternadel (formerly of Ameriprise Financial Services), Gary Chang (formally of Morgan Stanley), Brent Hablutzel (formally of Rockefeller Financial), Chad Barancyk (formally of Great Point Capital), Daniel Ballister […]
Fariba Madison Involved in Investor Complaint over GWG L Bonds
We are investigating Fariba Madison (CRD #1178259) for sales practice violations related to the marketing of GWG L Bonds. Ms. Madison is currently registered with Western International Securities in Los Alamitos, California. The information contained in this article is based on disclosures contained on her public securities license as well as other information. The public […]