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 […]
Vincent Fuchs Allegedly Engaged in Unapproved Business Activity
Vincent Fuchs (CRD# 6602274), formerly a broker registered with Steward Partners, participated in an unapproved outside business activity, according to a recent sanction. MDF Law is investigating the Fort Worth, Texas-based adviser, currently registered with Texas Capital Bank, for similar conduct. If you have concerns about investments in your accounts, call us for a free […]
David Slater Allegedly Improperly Shared Commissions
David Slater (CRD# 2061869), a broker registered with Chelsea Financial Services, improperly shared commissions from securities transactions, according to a regulatory action. MDF Law is investigating the Staten Island, New York-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. More information about the […]
Christian de Berardinis Allegedly Engaged in Unapproved Offering
Christian de Berardinis (CRD# 4312327), formerly a broker registered with Morgan Stanley, participated in an unapproved private securities offering, according to a recent regulatory action. MDF Law is investigating the West Palm Beach, Florida-based Aperture Advisors representative for similar conduct. If you suffered losses investing with him, contact our law firm for a free and […]
Bill Conn: Investor Disputes Settled for 7 Figures
Bill Conn (CRD# 1477107), a broker registered with International Assets Advisory, was involved in an investor dispute that settled for more than $1 million. This dispute can be found in his BrokerCheck profile, a Financial Industry Regulatory Authority (FINRA) record accessed on August 2, 2023. As this record reflects, the San Francisco financial professional was […]
Azmi Sharif Terminated by LPL Over Outside Business Activities
On December 20, 2022, LPL Financial announced it terminated Azmi Sharif (CRD # 2343413). Mr. Sharif previously worked for LPL Financial in Elmhurst, Illinois. He is also affiliated with Sharif Wealth Strategies, Inc. This article is based on information that was gathered from FINRA BrokerCheck as of March 9, 2023. If you lost money investing […]