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 […]
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 […]
Former Wells Fargo Adviser Robert Player Has History of Disclosures
Robert Player (CRD# 2122678), an investment professional formerly registered with Wells Fargo, has been involved in customer disputes alleging his actions resulted in losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on April 7, 2022, he was previously based in Wells Fargo’s office in Garden City, New York. Customers: Player Made […]
Robert Abee Has a History of Problems with Customers and Regulators
Former Raleigh, North Carolina based broker Ronald Abee (CRD# 862576) has been involved in a customer dispute and a regulatory sanction. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 2, 2022, he was the president of Oxford Investment Group, which offers securities through Cambridge Investment Research. North Carolina Regulators Fined […]
Former Morgan Stanley Broker David Snell Involved in Multiple Investor Settlements
Former Morgan Stanley broker David Snell (CRD# 1270233) has been involved in customer complaints alleging various forms of misconduct. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 14, 2022, he was registered with the firm’s Perrysburg, Ohio office until earlier this year. He is currently not registered as a broker […]
Cory Bataan Has History of Customer Complaints and Settlements
Cory Bataan (CRD# 2755223) has been involved in customer disputes and a regulatory sanction over allegations of misconduct. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 8, 2022, Mr. Bataan was most recently affiliated as a broker with Terranova Capital Equities in New York City. He is not currently registered […]
Investor Complaints Continue for Chuck Cox Financial
Chuck Cox (CRD# 2283909) is involved in a customer dispute alleging six-figure damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 4, 2022, the Cox Financial broker/adviser is currently based in Federal Way, Washington. Pending Complaint: Cox Violated Fiduciary Duty In December 2021 a customer alleged Mr. Cox failed to […]
NJ Broker Pat Guadagno Has History of Investor Disputes
Pat Guadagno (CRD# 734022) has been involved in customer disputes alleging unauthorized trading and other forms of misconduct. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on February 2, 2022, he was most recently registered as a broker with MD Global Partners in Hackensack, New Jersey. He is currently not registered […]
Merrill Lynch Fires Alabama Advisor Pat Brown and Pays $4.2 Million Customer Settlement
Alabama financial advisor Pat Brown (CRD 1148258) has been fired by Merrill Lynch. This is according to disclosures released by FINRA on January 11, 2020. He continues to be licensed as RFG Advisory, an SEC registered investment advisor. June 2021: Multi-Million Dollar Settlement On October 27, 2021, Merrill Lynch agreed to pay a customer settlement […]