Christopher Duffy Involved in Suitability Dispute
Christopher Duffy (CRD# 2515612), a broker registered with Morgan Stanley, implemented an unsuitable strategy, according to an investor dispute. MDF Law is investigating the Red Bank, New Jersey-based financial professional for similar conduct. Current or former clients with concerns about their investments should call our law firm for a free consultation. Pending Dispute Alleges Unsuitable […]
Thad Allen, Smith Moore Broker, Involved in Dispute
Thad Allen (CRD# 5644772), a broker registered with Smith Moore & Company, removed funds from a customer’s account to pay a third party, according to an investor dispute. MDF Law is investigating the Topeka, Kansas-based financial professional for similar conduct. If you have concerns about investments in your accounts, call us for a free consultation […]
Ceondre Colvin Allegedly Made Unauthorized Withdrawals
Ceondre Colvin (CRD# 7329753), formerly a broker registered with NYLife Securities, made unauthorized withdrawals from customers’ accounts, according to allegations by his former firm. MDF Law is investigating the former Pittsburgh, Pennsylvania-based financial professional for similar conduct. If you have concerns about your investments, contact us for a free, confidential consultation with one of our […]
Investors File Complaints Against Cetera Investment Services
Arcadia broker/adviser Cathy Wu (CRD# 4924232) is involved in pending customer disputes. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 24, 2022, she is currently registered with Cetera Investment Services. Also registered with the firm’s offices in Torrance and Palos Verde, California, she is alternately known as Ping Shuang Wu. […]