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. […]
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 […]
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 […]