Joseph Audia Allegedly Sold Unsuitable Stocks
Joseph Audia (CRD# 2909761), a broker registered with VCS Venture Securities, is embroiled in an investor dispute alleging that he provided unsuitable investment advice. MDF Law is investigating the Hauppage, New York-based financial professional for similar conduct. We encourage investors with concerns to call us as soon as possible. The details contained in this post […]
Jimmy Monken Embroiled in $750K Investor Dispute
Jimmy Monken (CRD# 5765921), a broker registered with Morgan Stanley, is involved in investor disputes seeking six-figure damages. MDF Law is investigating the Clayton, Missouri representative for conduct similar to that alleged in the disputes, which are contained in his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile, accessed on October 7, 2023. Call an attorney […]
Lorraine Gallette: Disputes Seek 7-Figure Damages
Lorraine Gallette (CRD# 6192487), formerly a Moloney Securities broker, recommended unsuitable investments that led to more than $1 million in damages, according to investor disputes filed in the last several years. MDF Law is investigating the former El Dorado Springs, Missouri broker for similar conduct. Investors who lost money working with her should contact us […]
Investor: Stiefel Broker Robert Macaluso Misrepresented Investments
Robert Macaluso (CRD# 1348161), a broker registered with Stifel Nicolaus & Company, allegedly misrepresented and recommended unsuitable investments, according to his BrokerCheck report. Accessed on June 20, 2023, this Financial Industry Regulatory Authority-published record discloses that the Boca Raton representative has been involved in three customer disputes. Pending Dispute Alleges Misrepresentations In May 2023 a […]
FINRA: Complaint Involving Eli Moallem Settles for $275,000
Eli Moallem (CRD# 2954321) has been involved in a customer complaint that settled for more than $200,000. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Moallen recently departed Merrill Lynch and is now registered with NewEdge Securities in Montvale, New Jersey. Customer Complaint: Eli Moallem Made […]
Equitable Advisors Involved in Investor Suitability Complaint
Kevin Dooley (CRD# 2513153) and Adam Weirich (CRD# 3013630) have received a pending customer complaint alleging they recommended unsuitable alternative investments. According to their FINRA-maintained BrokerCheck reports, accessed on November 27, 2021, Dooley and Weirich are brokers and investment advisers registered with Equitable Advisors in Miami, Florida. Pending Complaint Alleges Suitability Violations FINRA records show […]
Royal Alliance Reps Embroiled in $250,000 Investor Complaint
Thomas Rydell (CRD# 5020102) and Ron Phillips (CRD# 2823393) are embroiled in a customer complaint alleging their actions caused six figure damages. This information is according to their Financial Industry Regulatory Authority (FINRA) BrokerCheck reports, accessed on November 27, 2021. Those records show that Rydell is currently a broker and investment adviser registered with Royal […]
Morgan Stanley Advisor James Frank Involved in FINRA Case
James Frank (CRD# 1212576) allegedly recommended unsuitable investments that caused six-figure losses. According to his Financial Industry Regulatory Authority BrokerCheck report—last accessed on November 23, 2021—Frank is currently registered with Morgan Stanley in West Palm Beach, Florida. Pending Complaint Alleges Unsuitable Investments FINRA records describe a pending customer complaint involving James Frank. Filed in September […]
UBS Broker Involved in $500,000 Customer Arbitration
Nick Polydoros (CRD #: 1109056), a broker registered with UBS Financial Services in Scottsdale, Arizona, is involved in a half-million-dollar investor dispute, according to his BrokerCheck record, accessed on November 24, 2021. On February 24, 2021, an investor alleged that Nick Polydoros recommended unsuitable investments. They further alleged that those investments resulted in principal losses. […]
Investor Files Suitability Complaint Against Kalos Broker Ron Russell
Ron Russell (CRD# 2844140), a Kalos Capital advisor is the recipient of customer complaints, according to Financial Industry Regulatory Authority (FINRA) records accessed on November 8, 2021. If you have lost money investing with Mr. Russell or his firm and you want to discuss your case with us, please call 800-767-8040 to speak with an […]