Fremont Broker AiRung Liu Involved in FINRA Arbitration Complaint
High Valley Financial Planning Services broker AiRung Liu (CRD# 4661602) is embroiled in a pending customer dispute. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 25, 2022, she is currently based in Fremont, California. High Valley Financial Planning Services offers securities through Securities America, according to the firm’s website. Customer […]
Morgan Stanley Pays $300,000 to Settle Jacob Cobby Shapira Complaint
According to records received by FINRA on January 11, 2022, Morgan Stanley has agreed to pay a $300,000 settlement to resolve a complaint related to Jacob Cobby Shapira (CRD 1890969). This is not the first complaint disclosed on Cobby Shapira’s securities license according to the Financial Industry Regulatory Authority. September 2021 $300,000 Customer Settlement Morgan […]
Investor Seeks Over $400,000 in Arbitration Involving John Gatto
John Gatto (CRD #: 1415454), an investment advisor registered with Merrill Lynch, Pierce, Fenner, & Smith, has a new customer complaint involving an alleged failure to follow instructions, according to his BrokerRecord, accessed on January 10, 2022. Mr. Gatto also has two settled customer disputes on his record as well as disputes that were denied […]