Jilena Yuen-Han Mok Sanctioned: Unauthorized Trading Allegations

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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

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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 […]

Gus Rodrigo: FINRA Suspends Sutter Securities Broker

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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

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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 […]

Patrick Cavanagh Suspended over 6-Figure Arbitration Award

LPL Financial Fined Over Advisor's Fraud

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

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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

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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

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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. […]