Patrick Cavanagh Suspended over 6-Figure Arbitration Award
Patrick Cavanagh (CRD# 5186630), formerly a broker registered with Spartan Capital Securities, failed to comply with an arbitration award, according to a recent Financial Industry Regulatory Authority (FINRA) suspension. MDF Law is investigating the former New York City broker for allegations of similar conduct. Investors with complaints should contact us as soon as possible. FINRA […]
Ray Guarini Resigns from Paulson Investment Company
Ray Guarini (CRD# 4699488), formerly a broker registered with Paulson & Company, departed the firm over allegations he violated its rules. MDF Law is presently investigating Mr. Guarini for similar misconduct. Investors with complaints about his investment advice should contact us immediately. Further details about his alleged rule violations can be found below, based on […]
Pierre Hilario Barred by FINRA: Private Placement Investigation
Pierre Hilario (CRD# 4386481), formerly a broker registered with NI Advisors and SW Financial, allegedly failed to cooperate with an investigation into his private placement sales, according to an October 7, 2023 review of his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile. MDF Law is investigating the former Milpitas, California representative for allegations of similar […]
Merrill’s Alan Mann Involved in New Customer Dispute
Alan Mann (CRD# 1827683), a broker registered with Merrill Lynch, made unsuitable and unauthorized transactions, according to an investor dispute. These allegations can be found in his BrokerCheck profile, published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2023. More information about his alleged conduct is available in this post. Pending […]
Linda Schnell Allegedly Led Unsuitable Mutual Fund Strategy
Linda Schnell (CRD# 2622613), a broker registered with Morgan Stanley, recommended unsuitable investments, according an investor dispute. This allegation can be found in her BrokerCheck profile, a Financial Industry Regulatory Authority (FINRA) record accessed on July 24, 2023. Ms. Schnell is based in her member firm’s office in Paramus, New Jersey, according to that record. […]
Landolt’s Bret Schaefer Involved in Settled Disputes
Bret Schaefer (CRD# 2577117), a broker registered with Landolt Securities, has been involved in investor disputes that settled for more than $500,000 in total. These disputes can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile, accessed on July 25, 2023. The financial professional is based in Antioch, Illinois. Disputes Alleged Misrepresentation, Unauthorized […]
Maury Lomax Involved in $1 Million Investor Dispute
Maury Lomax (CRD# 4389255), a broker registered with Morgan Stanley, is embroiled in an investor dispute stemming from stock investments, according to his BrokerCheck profile. Published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2023, this record notes that Mr. Lomax is based in Mobile, Alabama. Pending Dispute Seeks $1 Million […]
FINRA Bars Jermaine Benjamin Over Misappropriation Allegations
Jermaine Benjamin (CRD# 6152653), formerly a broker registered with Raymond James Financial Services, was barred this month from registering with any broker-dealer firm in any capacity. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 11, 2023, the regulator sanctioned him over allegations that he refused to cooperate with its investigation […]
Prospera Financial’s Michael Tretheway Sanctioned by Regulators
Michael Tretheway (CRD# 2964914), a broker registered with Prospera Financial Services, allegedly made an unapproved outside investment, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile. Accessed on July 19, 2023, this record notes that the Fort Lauderdale-based financial professional was sanctioned in May 2023 by the Massachusetts Securities Division. Massachusetts Regulators Sanctioned Tretheway […]
Nathan Paulson Allegedly Caused $5 Million Damages
Nathan Paulson (CRD# 4799867), an investment adviser registered with Paulson Wealth Management, is involved in an investor dispute seeking damages of $5 million. This dispute can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 12, 2023, which notes that the former APW Capital broker is based in Wheaton, Illinois. […]