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 […]
Complaint Involving Former Aegis Broker Yann Faho Settles for $300,000
Yann Faho (CRD #: 5397543), a broker formerly registered with Aegis Capital Corp, is involved in two investor disputes, according to his BrokerCheck record, accessed on January 10, 2022. If you or someone you know lost money investing with him or Aegis Capital, please contact or law firm at 800-767-8040 for a free and confidential […]