Hal Klein, Former NewEdge Broker, Suspended by FINRA
Hal Klein (CRD# 1021759), formerly a broker with NewEdge Securities, improperly signed customer signatures, according to a recent disciplinary action. MDF Law is investigating the former Seal Beach, California-based financial professional for similar conduct. We encourage former clients with concerns about their investments to reach out for a free consultation. Continue reading this post for […]
Jim Turpin, USA Financial Broker, Involved in Theft Allegations
Jim Turpin (CRD# 5937001), formerly a broker registered with USA Financial Securities Corporation, committed forgery and theft, according to an investor dispute. MDF Law is investigating the former Haddonfield, New Jersey-based financial professional for similar conduct. Investors who suffered losses in their accounts should contact us for a free consultation. To learn more about Mr. […]
Chris Gallo, Joseph Stone Broker, Suspended by FINRA
Chris Gallo (CRD# 6045888), a broker registered with Joseph Stone Capital, recommended excessive transactions to retail customers, according to a disciplinary action. MDF Law is investigating the New York City-based financial professional for similar conduct. If you have concerns about investments in your accounts, call us for a free consultation with our team. To learn […]
Kittiany Davis Barrios Barred by FINRA
Kittiany Davis Barrios (CRD# 6941840), formerly a broker registered with PFS Investments, refused to cooperate with an investigation, according to a recent sanction. MDF Law is investigating the former Cranbury, New Jersey-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. To learn more […]
Ken Judd Barred After Resigning from Valkyrie Equities
Ken Judd (CRD# 7110607), formerly a broker registered with Valkyrie Equities, refused to cooperate with an investigation into his activities. MDF Law is currently investigating the former Farmers Branch, Texas-based financial professional for similar conduct. Former clients with concerns about their own investments should contact us for a free consultation about their options. Continue reading […]
Victor Lessinger Suspended by FINRA: Suitability Allegations
Victor Lessinger (CRD# 830821), formerly a broker registered with Colorado Financial Service Corporation, recommended unsuitable investments, according to a recent disciplinary action. MDF Law is investigating the former Boca Raton, Florida-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 […]
Ivan Ffriend, Cetera Adviser, Suspended by FINRA
Ivan Ffriend (CRD# 1013083), a broker registered with Cetera, violated industry rules, according to a recent disciplinary action. MDF Law is investigating the New Rochelle, New York-based financial professional for similar conduct. If you have concerns about your accounts, call us for a free and confidential consultation with our team. More information about Mr. Ffriend’s […]
Gregory Corrie Allegedly Made Excessive UIT Trades
Gregory Corrie (CRD# 1982814), formerly a broker registered with Cambridge Investment Research, excessively used unit investment trust products, according to allegations by that firm. MDF Law is investigating the former Boise, Idaho-based financial professional for similar conduct. If you are a former client with concerns about your accounts, call us for a free consultation. More information […]
Roger Turcotte Suspended by FINRA
Roger Turcotte (CRD# 1180997), a broker registered with Cetera, mismarked order tickets, according to a disciplinary action against him. MDF Law is investigating the Tampa, Florida-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 the allegations against Mr. Turcotte, […]
LPL Financial Fined $3 Million: E-Signature Allegations
LPL Financial agreed last year to pay a $3 million fine imposed by the Financial Industry Regulatory Authority. According to a Letter of Acceptance, Waiver, and Consent (No. 2020067897601) released in July 2023, FINRA alleged that the form failed to establish and maintain supervisory procedures governing customer fund transfers to third parties. It also alleged […]