Chad Zawacki Involved in Denied Trading Disputes
Chad Zawacki (CRD# 2996799), a broker registered with Merrill Lynch, recommended unsuitable investments, according to denied customer disputes. MDF Law is investigating the St. Paul, Minnesota-based financial professional for similar conduct. If you have concerns about your accounts, call us today for a free consultation. This post contains additional details about the allegations against Mr. […]
T. Sloan Thompson Allegedly Made Unsuitable Trades
T. Sloan Thompson (CRD# 2588490), formerly a broker registered with Truist Investment Services, allegedly engaged in risky and unsuitable trading, according to investor disputes. MDF Law is investigating the former Savannah, Georgia-based financial professional for similar conduct. If you are a current or former client with concerns about your accounts, contact us for a free […]
Gary Costello Allegedly Made Unauthorized Trades
Gary Costello (CRD# 6117388), a broker registered with Aegis Capital, made unauthorized trades, according to multiple investor disputes. MDF Law is investigating the Boca Raton, Florida-based financial professional for similar conduct. Call us for a free consultation if you have concerns about your accounts. To learn more about the allegations against Mr. Costello, continue reading […]
John Saunders Allegedly Made Unauthorized Trades
John Saunders (CRD# 870131), a broker registered with UBS Financial Services, made unauthorized transactions, according to an investor dispute. MDF Law is investigating the Roanoke, Virginia financial professional for similar conduct. We urge investors with concerns about their accounts to contact us as soon as possible. To learn more about the allegations against Mr. Saunders, […]
Clarisse Tur Allegedly Made Unauthorized Trades
Clarisse Tur (CRD# 6093990), a broker registered with Merrill Lynch, made unauthorized trades, according to investor disputes. MDF Law is investigating the Akron, Ohio-based financial professional for similar conduct. We urge investors with concerns to reach out for a free consultation. To learn more about the allegations against Ms. Tur, continue reading this post. The […]
Chris Kirkland Allegedly Made Unauthorized Trades
Chris Kirkland (CRD# 5602044), a broker registered with Avantax Investment Services, recommended unsuitable investments, according to 6-figure investor disputes. MDF Law is investigating the Atlanta-based financial professional, who does business as Legacy Capital Advisors, for similar conduct. We encourage investors with concerns to contact us as soon as possible. To learn more about the allegations […]
Oppenheimer Advisor Mark Frommer Involved in New Investor Complaints
Mark Frommer (CRD# 1553129) is embroiled in pending customer disputes alleging he made unsuitable recommendations and unauthorized trades. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 10, 2022, he is currently a representative of Oppenheimer & Company in Chicago, Illinois. Complaints Allege Unauthorized Trading, Unsuitability FINRA records describe two pending […]
Oppenheimer Broker Gustavo Miramontes Involved in Unauthorized Trading Cases
Los Angeles based Oppenheimer broker Gustavo Miramontes (CRD# 2338966) is the subject of multiple customer disputes regarding unauthorized trading. He has a history of such complaints with older customer disputes involving Miramontes settling for more than $600,000. This information is based on his Financial Industry Regulatory Authority BrokerCheck report, accessed on February 2, 2022. Pending […]
Morgan Stanley Advisor John Rochester Involved in $600,000 Investor Dispute
John Rochester (CRD# 2128760) is involved in a pending customer complaint detailing allegations of unauthorized trading. This is according to the Santa Fe-based Morgan Stanley broker/adviser’s BrokerCheck report, last accessed on November 27, 2021. More information on the complaints disclosed to the Financial Industry Regulatory Authority (FINRA) is available below. Investor: John Rochester’s Trading Caused […]