Terrance Reagan Charged by SEC over Excessive Commissions
The Securities and Exchange Commission charged former brokers Terrance Reagan (CRD #2672751) & Nate Clay (CRD #4525541) with violating the Securities and Exchange Act. The case against Reagan and Clay was filed by the Securities and Exchange Commission in the Southern District of New York. The Case Number is 1:23-cv-00276. SEC v. Terrance Reagan & […]
Investor Alleges Peter Viglione Excessively Traded Account
Peter Viglione (CRD #: 4697621), a broker currently registered with Network 1 Financial Securities in New York, has racked up yet another investor dispute regarding excessive trading, according to his BrokerCheck record, accessed on January 6, 2022. If you have questions about Viglione’s conduct as a broker, keep reading. Peter Viglione Accused of Recommended Over-Concentrated […]
Former Laidlaw Advisor John Busco Has History of Complaints with Customers
John Busco (CRD# 825869) has been involved in customer disputes that cumulatively settled for more than $100,000. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Busco is a representative of Ameriprise Financial Services based in Red Bank, New Jersey. Three Customer Settlements Related to Excessive Trades […]
FINRA Bars SW Financial Broker Joseph Lianzo Over Suitability Allegations
Financial Industry Regulatory Authority (FINRA) records accessed on October 20, 2021 show that New York-based SW Financial broker Joseph Lianzo, who has received customer disputes, was recently suspended by FINRA in connection to alleged rule violations. MDF Law is interested in speaking with investors who have complaints regarding Mr. Lianzo (CRD# 4516842). FINRA Sanction Joseph […]