Oppenheimer Advisor Daniel Mittag Involved in $450,000 Investor Dispute

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Daniel Mittag (CRD #: 822636), a broker registered with Oppenheimer & Co., is facing investor allegations that he recommended unsuitable investments, according to his BrokerCheck record, accessed on January 10, 2022. There are two other investor disputes on his record – keep reading for more details. Investor Alleges that Daniel Mittag Engaged in Excessive Trading […]

Former Woodbury Broker Chuck Riggenbach Involved in Investor Dispute

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Chuck Riggenbach (CRD #: 1686839), a broker last registered with Woodbury Financial Services Inc., is facing a customer dispute regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on January 10, 2022. If you want to know more about Mr. Riggenbach’s career as a broker, keep reading. Investor Dispute Pending Before FINRA On September […]

Triad Advisors Pays Fine and Restitution to Resolve FINRA Complaint

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In December 2021, FINRA announced that it reached a settlement with Triad Advisors concerning it recommendation of the LJM Mutual Fund to customers. Here are the important details: From September 2016 until February 2018, Triad failed to conduct reasonable due diligence into the risks and features of the LJM Fund. Triad sold $2,267,000 in LJM […]

Wells Fargo Ordered to Pay Customer Restitution of Over $3.3 Million

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Wells Fargo Advisors was recently ordered by FINRA to pay over $3.3 million in restitution to investors. According to the agreement, Wells Fargo Advisors agreed that it failed to supervise representative’s 529 plan share class recommendations. The AWC is designed to compensate investors that were steered into higher fee funds. AWC Between Wells Fargo Advisors […]

Woodbury Financial Advisor Richard Allen Involved in Investor Dispute

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Richard Allen (CRD# 1139391) has been embroiled in settled or pending customer disputes. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 21, 2021, Mr. Allen is currently registered as a broker and an investment adviser with Woodbury Financial Services in Alpine, Utah. FINRA: Complaint Alleges up to $500,000 in […]

Investor Filed Complaint Involving Wells Fargo Advisor John Pasacreta Jr.

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John Pasacreta Jr. (CRD# 2398487) allegedly recommended unsuitable investments, according to a recently denied customer complaint against him. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on December 20, 2021, Mr. Pasacreta is registered as a broker and an investment adviser with Wells Fargo Clearing Services in Greenwich, Connecticut. Denied Complaints Allege […]

Efrain Trujillo Fired Over Customer Loan

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Efrain Trujillo (CRD# 3106482) was recently fired by his forner member firm over alleged rule violations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 20, 2021, Mr. Trujillo was most recently registered with Western International Securities in Los Angeles, California. Western International Securities Terminated Efrain Trujillo In October 2021 […]

FINRA: Edward Venezia Has a History of Customer Disputes

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Edward Venezia (CRD# 2000760) has been involved in multiple customer disputes which have settled. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Venezia is registered as a broker and investment adviser with Wells Fargo’s office in Boca Raton, Florida. Complaints Alleged Unsuitable Investments, Unauthorized Trades Between […]

Hayk Papoyan is Under Investigation by FINRA After Being Fired

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Hayk Papoyan (CRD# 4459980) is the subject of a Financial Industry Regulatory Authority investigation into alleged rule violations. This is according to his FINRA BrokerCheck report, a public record accessed on November 27, 2021. Papoyan is not currently registered as a broker or as an investment adviser, but he was most recently registered with MML […]

Western International Rep Peter Steege Involved in Multiple Customer Disputes

Mike Savarese Involved in Client Dispute Over Investment Plan

Peter Steege (CRD #: 1060713), a broker and an investment adviser registered with Western International Securities, has disclosures on his license, according to his BrokerCheck record, accessed on November 10, 2021. Mr. Steege has a long record of disclosures, dating all the way back to 1989, when he was fired from Smith Barney, Harris Upham […]