Luke Lannister Allegedly Churned Investments
Luke Lannister (CRD# 6317373), formerly a broker registered with Grove Point Investments, churned investments and made unauthorized trades, according to an investor dispute. MDF Law is investigating the former Rockville, Maryland-based financial professional for similar conduct. Contact us immediately if you have concerns about your accounts. To learn more about the allegations against Mr. Lannister, […]
Kevin Springstead Allegedly Churned Investments
Kevin Springstead (CRD# 4937429), formerly a broker registered with Craft Capital Management, churned investments and used margin without authorization, according to an October 24, 2023 review of his Financial Industry Regulatory Authority (FINRA) BrokerCheck record. MDF Law is investigating the former New York City broker for similar conduct, and urges investors with complaints to call […]
Danny Strain Allegedly Churned Investments
Danny Strain (CRD# 437903), a broker registered with Cape Securities, churned investments in a customer’s account, according to a recent investor dispute. MDF Law is investigating the Columbus, Georgia financial professional for allegations of similar conduct. Investors with concerns about their accounts should contact our law office as soon as possible. The information in this […]
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 […]
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 & […]
FINRA Complaint: Wisconsin Broker William Mielke Allegedly Churned Investments
Wisconsin based Stifel Nicolaus & Company broker William Mielke (CRD# 1219765) is embroiled in a pending customer dispute alleging he engaged in unauthorized trading. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 17, 2022, Mr. Mielke is based out of the firm’s branch office in Green Bay, Wisconsin. Complaint Alleges […]
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 […]
Morgan Stanley Fined by State of New Hampshire
On November 27, 2018, Morgan Stanley was fined by the State of New Hampshire, Bureau of Securities Regulations. That is the agency that has jurisdiction over enforcing the Uniform Securities Act in the state of New Hampshire. Here are the allegations: An advisor at Morgan Stanley engaged in churning or excessive trading of stocks. The […]
Former Morgan Stanley Advisor Wendell Kucker Has Long History of Customer Disputes
Wendell Kucker (CRD# 711494) recently left his position at Morgan Stanley in Modesto, California and is currently not registered as a broker or an investment adviser. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he has been involved in numerous customer complaints that resolved with settlements paid to the customer. Complaints Allege Concentration, […]
FINRA: Hammond Han Has History of Investor Disputes
Hammond Han (CRD# 1576569) recently departed UBS Financial Services for Morgan Stanley’s office in Washington, DC. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Han has been involved in several customer complaints, most of them denied. Complaints: Han Recommended Unsuitable Securities Three customers filed complaints against […]