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 […]