Mark Kemp Allegedly Sold Unsuitable RCN Investments
Mark Kemp (CRD# 2057200), a broker registered with McNally Financial Services, recommended unsuitable securities to elderly investors, according to a recent sanction. MDF Law is investigating the Corpus Christi, Texas-based financial professional for similar conduct. If you suffered losses in your accounts, call our law firm for a free consultation with an attorney. To learn […]
Chris Jacobi, Ameriprise Broker, Allegedly Sold Unsuitable Stock
Chris Jacobi (CRD# 1648679), a broker registered with Ameriprise Financial Services, recommended an unsuitable investment, according to a recent dispute. MDF Law is investigating the Pensacola, Florida-based financial professional for similar conduct. If you have concerns about your accounts, contact us for a free, confidential consultation. To learn more about the dispute involving Mr. Jacobi, […]
Brett Butler Allegedly Took Undisclosed Loans
Brett Butler (CRD# 4260239), formerly a broker registered with Pruco Securities, took undisclosed loans from his customers, according to a disciplinary action. MDF Law is investigating the former Evansville, Illinois-based financial professional for similar conduct. Former clients with concerns about their accounts should contact us for a free consultation with an attorney. More information about […]
Jason Lowther, Concorde Broker, Allegedly Sold Unsuitable Bonds
Jason Lowther (CRD# 2606268), a broker registered with Concorde Investment Services, recommended an unsuitable bond investment, according to an investor dispute. MDF Law is investigating the Ann Arbor, Michigan-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free, confidential consultation. Details about the allegations against […]
Joe Gutierrez Involved in $1 Million Dispute
Joe Gutierrez (CRD# 5527598), a broker registered with Merrill Lynch, failed to act in a customer’s best interest, according to a recent investor dispute. MDF Law is investigating the Stuart, Florida-based financial professional for similar conduct. If you suffered losses in your accounts, contact our law firm for a free, confidential consultation with an attorney. […]
Fred Chen Allegedly Misrepresented Investments
Fred Chen (CRD# 5766069), a broker registered with Emerson Equity, misrepresented investments, according to investor disputes. MDF Law is investigating the Irvine, California-based financial professional for similar conduct. If you suffered losses in your accounts, contact us for a free consultation. To learn more about the allegations against Mr. Chen, continue reading this post. The […]
Jeffrey Werdesheim Involved in 6-Figure Dispute
Jeffrey Werdesheim (CRD# 1892046), a broker registered with Oppenheimer & Company, made unsuitable investment recommendations, according to an investor dispute. MDF Law is investigating the Los Angeles, California-based financial professional for similar conduct. If you have concerns about investments in your accounts, call us to receive a free consultation with an attorney. To learn more […]
Mary McDougall Allegedly Made Unauthorized Investments
Mary McDougall (CRD# 1033553), a broker registered with Merrill Lynch, recommended unsuitable investments, according to denied investor disputes. MDF Law is investigating the Saint Paul, Minnesota-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. To learn more about the allegations against Ms. McDougall, […]
David Karin Allegedly Misled Investors
David Karin (CRD# 2486154), a broker registered with Western International Securities, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Westlake Village, California-based financial professional for similar conduct. If you have complaints about your investments, contact us for a free, confidential consultation. To learn more about the disputes involving Mr. Karin, continue […]
Stephen Smith of Cetera Involved in Suitability Dispute
Stephen Smith (CRD# 2632131), a broker registered with Cetera Investment Services, made unsuitable investment recommendations, according to an investor dispute. MDF Law is investigating the Fort Myers, Florida-based financial professional, who is also a representative of Regions Bank, for similar conduct. If you have concerns about your accounts, contact us to speak with an attorney […]