Michael Cody, Former Pruco Broker, Investigated by FINRA
Michael Cody (CRD# 5056324), formerly a broker registered with Pruco Securities, failed to supervise sales of unsuitable securities, according to an investigation. MDF Law is investigating the former Melville, New York-based professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. More information about the allegations […]
Chris Martin Allegedly Engaged in Financial Elder Abuse
Chris Martin (CRD# 4179127), a broker registered with Centaurus Financial, engaged in unfair business practices and financial elder abuse, according to a recent investor dispute. MDF Law is investigating the Apple Valley, California financial professional, who does business as Archangel Financial, for similar conduct. If you have concerns about investments in your accounts, contact us […]
Bert Takita Suspended over Alleged Outside Business Activities
Bert Takita (CRD# 5852632), formerly a broker registered with Equitable Advisors, allegedly engaged in unapproved outside business activities, according to a recent sanction. MDF Law is investigating the former Honolulu, Hawaii-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. To learn more about […]
Anida Venniro Allegedly Made Improper Private Transactions
Anida Venniro (CRD# 5121189), formerly a broker registered with Ameriprise Financial Services, participated in unapproved private securities transactions, according to a regulatory probe. MDF Law is investigating the Farmington Hills, Michigan-based financial advisor, now registered with International Assets Investment Management, for similar conduct. If you have concerns about your investments, contact our law firm for […]
Howard Graham Suspended over Alleged Violations
Howard Graham (CRD# 717332), formerly a broker registered with StoneX Securities and Wells Fargo, was recently suspended by FINRA following alleged rule violations. MDF Law is currently investigating the former Ridgeland, Mississippi-based financial professional for misconduct. If you have concerns about investments you made with him, contact us for a free consultation. To learn more […]
John Perez-Cubano Allegedly Misappropriated Funds
John Perez-Cubano (CRD# 6674954), formerly a broker registered with Morgan Stanley, refused to cooperate with an investigation into an alleged unauthorized disbursement, according to a recent enforcement action. MDF Law is investigating the former Short Hills, New Jersey-based financial professional for similar conduct. If you have concerns about your accounts, contact us for a free […]
Ashlee Godfrey Barred by FINRA: Misrepresentation Allegations
Ashlee Godfrey (CRD# 5889108), formerly a broker registered with Benjamin F. Edward & Company, misrepresented investments, according to a recent regulatory sanction. MDF Law is investigating the former Dalton, Georgia-based financial professional for similar conduct. If you have concerns about your investments, contact us for a free consultation. To learn more about Ms. Godfrey’s professional […]
Michael Coyne Involved in Equity-Linked Note Allegations
Michael Coyne (CRD# 4674176), a broker registered with First Trust Portfolios, is involved in numerous investor disputes stemming from equity-linked note investments. MDF Law is currently investigating the Phoenix, Arizona-based financial professional for conduct related to these notes. If you have concerns regarding your investments, contact us for a free consultation. Details about Mr. Coyne’s […]
Sean Mostero Allegedly Had “Inappropriate Relationship” with Client
Sean Mostero (CRD# 6447158), formerly a broker registered with LPL Financial, allegedly engaged in an inappropriate relationship with a client, according to an investor dispute. MDF Law is investigating the former Torrance, California financial professional for similar conduct. If you have concerns about investments you made with him, contact us for a free consultation. To […]
Andy Egber Allegedly Refused to Cooperate with Theft Inquiry
Andy Egber (CRD# 1894585), formerly a broker registered with Steward Partners, refused to cooperate with an investigation into theft allegations, according to a regulatory sanction. MDF Law is investigating the former Bethesda, Maryland financial professional for similar conduct. We encourage investors to contact us for a free consultation if they have concerns about their accounts. […]