William Weisbrod Barred over Allegedly Risky Strategy
William Weisbrod (CRD# 812664), formerly a broker registered with Purshe Kaplan Sterling, breached his fiduciary duties, according to a recent disciplinary action. MDF Law is currently investigating the Fairfield, New Jersey-based financial professional for similar conduct. We encourage investors with concerns to contact us immediately. For more information about the allegations against Mr. Weisbrod, who […]
Sara Qazi: FINRA Suspends Raymond James Broker
Sara Qazi (CRD# 4118177), a broker registered with Raymond James & Associates, participated in an unapproved private securities transaction, according to a disciplinary action. MDF Law is investigating the Beverly Hills-based financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us as soon as possible. Details regarding the allegations […]
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
Keith Curtis (CRD# 4798755), formerly a broker registered with Aegis Capital, refused to cooperate with an investigation into whether he converted funds, according to an enforcement action. MDF Law is investigating the former Tampa, Florida-based financial professional for allegations of similar conduct. We encourage investors with concerns about their accounts to contact us for a […]
Bob Marquez Barred by FINRA: Pre-IPO Private Placements
Bob Marquez (CRD# 2266269), formerly a broker registered with Investment Network, refused to cooperate with an investigation, according to a 2023 enforcement action. MDF Law is currently investigating the former Smithtown, New York-based financial professional for potential misconduct. If you have concerns regarding your investments, contact us for a free consultation. To learn more about […]
Jilena Yuen-Han Mok Sanctioned: Unauthorized Trading Allegations
Jilena Yuen-Han Mok (CRD# 6115674), a broker registered with Aegis Capital, effected unauthorized trades, according to a disciplinary action. MDF Law is investigating the San Francisco-based financial professional, formerly registered with Edward Jones, for similar conduct. If you have concerns about your accounts, contact us for a free consultation. To learn more about the allegations […]
Kevin Zappia Suspended over Trading Allegations
Kevin Zappia (CRD# 1360824), a broker registered with The Investment Center, violated securities industry rules, according to a recent sanction. MDF Law is currently investigating the Manlius, New York financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us immediately. For more information about the allegations against him, continue […]
Rick Leininger: FINRA Suspends Broker over Trading Allegations
Rick Leininger (CRD# 809473), a broker registered with The Investment Center, violated securities industry rules, according to a disciplinary action against him. MDF Law is investigating the Freeport, Illinois-based financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us as soon as possible. To learn more about the allegations […]
Luis Jean-Bart Involved in 7-Figure Dispute
Luis Jean-Bart (CRD# 5472965), a broker registered with Primerica Financial Services, is involved in an investor dispute alleging that his advice caused monetary losses. MDF Law is currently investigating the Cranbury, New Jersey-based financial professional for similar conduct. We urge investors with concerns about their accounts to contact us immediately. To learn more about the […]
Gus Rodrigo: FINRA Suspends Sutter Securities Broker
Gus Rodrigo (CRD# 3031284), a broker registered with Sutter Securities and Boustead Securities, made unauthorized trades in a customer’s account, according to a Financial Industry Regulatory Authority (FINRA) sanction. MDF Law is investigating the Boca Raton-based broker for allegations of similar conduct, and investors with concerns should call us immediately. The below details are based […]
FINRA Suspends MML Broker Tony Cross
Tony Cross (CRD# 3155726), an MML Investors Services broker, made unauthorized trades, according to a regulatory action suspending him from acting as a broker. MDF Law is investigating the Edmond, Oklahoma-based financial professional for similar conduct. We encourage investors with concerns to contact us as soon as possible. Details about the allegations against him are […]