Michael Coraggio Allegedly Made Unauthorized Trades
Michael Coraggio (CRD# 4684084), a broker registered with Janney Montgomery Scott, allegedly made unauthorized trades, according to his BrokerCheck report. This record, published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2023, identifies him as a financial professional registered in New York City. More information about his alleged conduct is available […]
Spectrum Capital’s Scott Kemps Involved in $400,000 Investor Dispute
Scott Kemps (CRD# 1849069), a broker registered with Great Point Capital, allegedly recommended unsuitable and speculative investments. These allegations are disclosed on his BrokerCheck report, a Financial Industry Regulatory Authority (FINRA) record accessed on July 6, 2023. According to this record, the Spectrum Capital Management president is registered in Melbourne and Orlando, Florida. Dispute Alleges […]
Wells Fargo’s James Paige Involved in More Investor Disputes
James Paige (CRD# 1726609), a broker registered with Wells Fargo Clearing Services, allegedly recommended unsuitable investments and made unauthorized trades, according to recent investor disputes. The disputes in question are disclosed in his BrokerCheck report, a record maintained by the Financial Industry Regulatory Authority (FINRA) and accessed on July 3, 2023. This report notes that […]
Jo Kaufman: Morgan Stanley Denied Investor Allegations
Jo Kaufman (CRD# 1402522), a broker registered with Morgan Stanley, allegedly recommended unsuitable investments, according to a dispute which her member firm denied. This information is disclosed in her Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on June 28, 2023. This report notes that the Boca Raton investment professional is also known as Rosita […]
Investors Continue Filing Complaints Against Arni Diamond
Arni Diamond (CRD# 2667392), formerly a broker with Dempsey Lord Smith, allegedly breached his fiduciary duty, according to disputes listed in his BrokerCheck report. This Financial Industry Regulatory Authority record, accessed on June 28, 2023, notes that he was registered with the firm’s branch office in Jacksonville, Florida, where he was owner of The Diamond […]
Eric Kubiak Resigned from Ameriprise over Alleged Business Activity
Eric Kubiak (CRD# 4637674) resigned as a broker from Ameriprise Financial Services earlier this year, according his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. Accessed on June 19th, 2023, this record notes that he was registered with the firm’s office in Cheektowaga, New York as a broker and investment adviser, and that he did business […]
Long Island Broker Jason Walsh Involved in $3.7 Million Investor Dispute
PHX Financial broker Jason Walsh (CRD# 5758243) is involved in a customer dispute seeking more than $3 million in damages, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record. Accessed on June 20, 2023, this record reflects his registration with his member firm’s office in Hauppage, New York. Complaint: Walsh Failed to Uphold His […]
Ross Berman Fired by Merrill Lynch in Florida
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 […]