Joao Pinto Sanctioned over High Frequency Trading
Joao Pinto (CRD# 6298233), a broker registered with Spartan Capital Securities, recommended unsuitable transactions in a retired customer’s account, according to a recent disciplinary action. MDF Law is currently investigating the New York City-based financial professional for allegations of similar conduct. We encourage investors with concerns to contact us immediately. To learn more about the […]
Jennifer Basey Allegedly Paid Customers over Trading Complaint
Jennifer Basey (CRD# 4730054), a broker registered with American Global Wealth Management, resigned from Stifel Nicolaus & Company after acknowledging that she paid cash to customers who complained about their investments. MDF Law is investigating the McDonough, Georgia-based financial professional for similar conduct. Investors with concerns about their accounts should contact us as soon as […]
Sean Zhang Embroiled in Suitability Disputes
Sean Zhang (CRD# 5050282), formerly a broker registered with Wells Fargo, is involved in several investor disputes alleging unsuitable recommendations. MDF Law is investigating the former Alhambra, California-based financial professional for similar conduct. Investors with concerns are encouraged to contact us as soon as possible for a consultation. Details about the investor disputes involving Mr. […]
Kirk Crossen Involved in $6 Million Suitability Dispute
Kirk Crossen (CRD# 2742256), formerly a broker registered with Raymond James & Associates, is involved in a $6 million investor dispute alleging he executed an unsuitable strategy. MDF Law is investigating the former Carmel, Indiana-based financial professional for similar conduct. Investors with concerns about their accounts should contact us for a free consultation. To learn […]
James Blaszyk Involved in $400,000 Suitability Dispute
James Blaszyk (CRD# 5364851), a broker registered with Wells Fargo, recommended unsuitable investments, according to an investor dispute. MDF Law is currently investigating the Boynton Beach-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 allegations against Mr. Blaszyk, continue […]
Brian Dumont Embroiled in $500,000 Dispute
Brian Dumont (CRD# 4737802), formerly a broker registered with Cambridge Investment Research, recommended an unsuitable investment, according to an investor dispute. MDF Law is investigating the New York City-based Dumont Wealth adviser for similar conduct. Investors with concerns about their accounts should contact us for a free consultation. To learn more about the allegations against […]
Fera Shivaee Allegedly Sold Unsuitable Bond
Fera Shivaee (CRD# 2271590), a broker registered with Centaurus Financial, recommended an unsuitable and complex investment, according to an investor dispute. MDF Law is investigating the Laguna Niguel, California-based financial professional for similar conduct. Investors with concerns should contact us immediately for a free consultation. To learn more about the allegations against Ms. Shivaee, continue […]
Devin Patel Involved in $1.5 Million Investor Dispute
Devin Patel (CRD# 6632487), a broker registered with Sanford Bernstein & Company, gave unsuitable advice that led to 7-figure damages, according to an investor dispute. MDF Law is investigating the Tampa-based financial professional for similar conduct. We encourage investors with concerns to call us immediately. To learn more about the allegations against Mr. Patel, continue […]
Norman Harp Involved in 6-Figure Bond Dispute
Norman Harp (CRD# 2480563), a broker registered with B.B. Graham & Company, is involved in an investor dispute seeing more than $100,000 in damages, according to FINRA records. MDF Law is investigating the Leawood, Kansas-based financial professional for similar conduct. We urge investors to call us immediately with any concerns. To learn more about the […]
Andrew Pesner Embroiled in 6-Figure Negligence Complaint
Andrew Pesner (CRD# 1971579), a broker registered with VCS Venture Securities, recommended an unsuitable stock investment, according to investor allegations. MDF Law is conducting an investigation of the Hauppage, New York-based financial professional for similar conduct. We encourage investors with concerns to reach out to our office immediately. Find details about his alleged conduct below, […]