Sharon Green, Regency Wealth Broker, Suspended by FINRA
Sharon Green (CRD# 1269522), a broker registered with Independent Financial Group, improperly engaged in an outside business activity, according to a recent disciplinary action. MDF Law is investigating the Elm Grove, Illinois-based financial professional, who does business as Regency Wealth Partners, for similar conduct. Investors with concerns about their accounts should reach out for a […]
Sebastian Bongiovanni Investigated by FINRA
Sebastian Bongiovanni (CRD# 4398600), formerly a broker registered with Spartan Capital, violated securities industry rules, according to proposed allegations. MDF Law is investigating the former New York City-based financial professional for similar conduct. If you are a former client with concerns about your accounts, reach out for a free consultation. Continue reading this post to […]
Hal Klein, NewEdge Broker, Suspended over Customer Signatures
Hal Klein (CRD# 1021759), formerly a broker registered with NewEdge Securities, improperly signed customer signatures, according to a disciplinary action. MDF Law is investigating the former Seal Beach, California-based financial professional for similar conduct. If you are a former client with concerns about your investments, call us to speak with an attorney. The following post […]
Michael Barrows, Innovation Partners Broker, Suspended by FINRA
Michael Barrows (CRD# 2933260), a broker registered with Innovation Partners, failed to comply with an arbitration award, according to a regulatory action suspending him. MDF Law is investigating the Charlotte, North Carolina-based financial professional for similar conduct. We encourage former clients with concerns about their accounts to reach out for a free consultation. This post […]
David Rollins, StoneX Broker, Suspended by FINRA
David Rollins (CRD# 4576407), a broker registered with StoneX Securities, improperly used customer funds, according to a recent disciplinary action. MDF Law is investigating the Baton Rouge, Louisiana-based financial professional for similar conduct. We encourage current or former clients with concerns about their accounts to reach out for a free consultation. To learn more about […]
Howard Kavinsky Barred over Alleged Falsifications
Howard Kavinsky (CRD# 5881623), formerly a broker registered with B. Riley, falsified account statements, according to a recent disciplinary action. MDF Law is investigating the former Chicago-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free and confidential consultation. To learn more about the allegations […]
Raymond Brown Resigned Under Internal Review
Raymond Brown (CRD# 6170291), formerly a broker registered with Northwestern Mutual Investment Services, resigned from that firm following alleged rule violations. MDF Law is investigating the former Frisco, Texas-based financial professional for similar conduct. If you have concerns about investments in your accounts, call for a free consultation with our team. To learn more about […]
Micheal Lucas Resigns over Alleged Rule Violations
Micheal Lucas (CRD# 5695141), formerly an adviser registered with Elevated Capital Advisors, resigned from his firm following allegations involving client documents. MDF Law is investigating the former Anthem, Arizona-based financial professional for similar conduct. If you suffered losses in your accounts, call for a free consultation with an attorney. More information about Mr. Lucas’ history […]
Kimberly Clark, Former Ameriprise Broker, Barred by FINRA
Kimberly Clark (CRD# 4312757), formerly a broker registered with Ameriprise Financial Services, refused to cooperate with an investigation into alleged misuse of funds, according to a recent sanction. MDF Law is investigating the former Hershey, Pennsylvania-based financial professional for similar conduct. If you are a former client with concerns about your accounts, contact us for […]
Greg Ritter Allegedly Breached his Fiduciary Duty
Greg Ritter (CRD# 3087358), a broker registered with Emerson Equity, violated Regulation Best Interest, according to an investor dispute. MDF Law is investigating the Delaware, Ohio-based financial professional for similar conduct. Current or former clients who suffered losses in their accounts should contact us for a free consultation. More information about Mr. Ritter, also a […]