Ross Berman Fired by Merrill Lynch in Florida

Red Flag of Danger

On February 15, 2023, Merrill Lynch ended its associated with Florida broker Ross Berman (CRD #4355980) and reported details of the termination to the Financial Industry Regulatory Authority, or FINRA.  Berman is not currently licensed with any other FINRA member firm.  This information was last accessed from FINRA on March 9, 2023.      MDF Law […]

Did You Invest with Caz Craffy?


Caz Craffy (CRD# 5222223) was barred by the Financial Industry Regulatory Authority on December 8, 2022 for failing to comply with a regulatory investigation. If you invested with Mr. Craffy, please call 800-767-8040 or complete the form below to be contacted by one of our attorneys. Marc Fitapelli Quoted in Washington Post On Monday, February, […]

Attention Native American Energy Group Investors


On November 11, 2022, MDF Law filed an arbitration before the Financial Industry Regulatory Authority, or FINRA, on behalf of two investors in Native American Energy Group. The lawsuit is against the licensed broker-dealer that recommended the investment. The complaint alleges that the brokerage firm was negligent in hiring and supervising the salesperson who recommended […]

FINRA Announces Investigation into James Stuart of Richfield Orion International

LPL Financial Fined Over Advisor's Fraud

On October 27, 2022, FINRA announced that it was recommending disciplinary action against James Stuart (CRD 3022149) of Richfield Orion International in Castle Rock, Colorado.  The actions related to excessive trading in customer accounts.  If you or someone you know lost money investing with James Stuart of Richfield International, please contact our law office at […]

FINRA Releases Information about Recent Broker Terminations


MDF Law is investigating the terminations for cause of the following individuals: Chip Wodrich (formerly of Honor Townsend & Kent), Robert Mehlin (formerly of Coastal Equities, Inc.), Dusty Sternadel (formerly of Ameriprise Financial Services), Gary Chang (formally of Morgan Stanley), Brent Hablutzel (formally of Rockefeller Financial), Chad Barancyk (formally of Great Point Capital), Daniel Ballister […]

Robert Gleason Fired by Cantella & Co. Over Concentration Letters


Owensboro, Kentucky broker Robert Gleason (CRD# 1415067) was recently terminated from his position at Cantella & Company. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 3, 2022, he is currently registered with IFP Securities. Cantella & Company Terminated Robert Gleason over Trading Conerns In December 2021 Cantella & Company fired […]

How To Sue Your Financial Advisor


It is possible to sue your financial advisor if you feel that you have been wronged or unfairly treated by that individual or an advisory firm. However, the “lawsuit” that you would initiate in order to seek redress from an injury caused by the action or inaction of an individual broker or brokerage is not […]

Judge: Wells Fargo’s Lawyer Had Secret Deal with FINRA To Rig Arbitrations  


In a shocking decision, the Superior Court of Fulton, Couty Georgia recently found that Wells Fargo Advisors engaged in a scheme to “manipulate” and “secretly redline the neutral list” of FINRA arbitrators.  The decision was published on January 25, 2022 and can best be summarized by Judge Belinda Edwards’ factual conclusion: “The Court’s factual review […]

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


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

Stock Prices Displayed

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 […]