Dennis Butler Named in SEC Fraud Charges
Dennis Butler (CRD# 4491587), formerly a broker registered with Phoenix Financial, acted as an unregistered broker in connection with a fraudulent scheme, according to charges by the Securities and Exchange Commission. MDF Law is investigating the former New York City-based financial professional for similar conduct. Former clients who suffered losses in their accounts should contact […]
Sean Sherwin: PHX Broker Involved in $2 Million Complaint
Sean Sherwin (CRD# 4164630), a broker registered with PHX Financial, made unsuitable investment recommendations, according to allegations found in his BrokerCheck profile. This record, maintained by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2023, notes that he is registered with his firm’s office in New York City. More information about his […]
Long Island Broker Jason Walsh Involved in $3.7 Million Investor Dispute
PHX Financial broker Jason Walsh (CRD# 5758243) is involved in a customer dispute seeking more than $3 million in damages, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record. Accessed on June 20, 2023, this record reflects his registration with his member firm’s office in Hauppage, New York. Complaint: Walsh Failed to Uphold His […]