Roger Zullo & LPL Financial – Defrauding Clients and Falsifying Client Suitability Profiles

Roger Salvatore Zullo and LPL Financial Allegedly Defrauded His Clients, Falsified Client Financial Suitability Profiles, and Sold His Customers Unsuitable Variable Annuities Roger Salvatore Zullo allegedly defrauded his clients, falsified client financial suitability profiles, and sold his customers unsuitable variable annuities, according to a Consent Order from the Massachusetts Securities Division currently under review by attorneys Alan Rosca… Read more »

Glenn Robert King—Excessive Trading of Customer Accounts

investment fraud attorney Cleveland

Glenn Robert King Allegedly Engaged in Excessive Trading of Customer Accounts and Exercised Discretion in Customer Accounts without Written Consent or Approval Glenn Robert King allegedly engaged in excessive trading of customer accounts and exercised discretion in customer accounts without written consent or approval, according to a Complaint from FINRA’s Department of Enforcement currently under… Read more »

David Joseph Escarcega – Material False and Misleading Statements

Cleveland stockbroker fraud lawyer

David Joseph Escarcega Allegedly Made Materially False and Misleading Statements in Connection with Seven Customers’ Purchases of Debentures Totaling Approximately $516,825 David Joseph Escarcega allegedly made materially false and misleading statements in connection with seven customers’ purchases of debentures totaling approximately $516,825, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan… Read more »

Mark Koehler—Unsuitable Trading

Ponzi scheme recovery attorneys

Mark Charles Koehler Allegedly Engaged in Unsuitable Trading, Including Short-term Mutual Fund Switching and Excessive Trading in Customer Accounts; Koehler also Allegedly Placed Undue Influence before a Customer’s Death Mark Koehler allegedly engaged in unsuitable trading, including short-term mutual fund switching and excessive trading in customer accounts, according to a recent Letter of Acceptance, Waiver… Read more »

Jason LeBlanc—Outside Business Activities

Rochester stockbroker fraud attorney

Jason H. LeBlanc Allegedly Failed to Disclose Several Outside Business Activities to Girard Securities, Inc. and Provided Inaccurate Information about an Outside Business Activity to the Firm Jason LeBlanc, between January 2012 and September 2015, allegedly failed to disclose several outside business activities to Girard Securities, Inc. and provided inaccurate information about an outside business activity… Read more »

Lona Nanna – Outside Business Activities

California stockbroker fraud attorney

Lona M. Nanna Allegedly Knew about Outside Business Activities Engaged in by Robert Lawson; Nanna Allegedly Failed to Make Timely Updates to Lawson’s Securities Industry Registration Form Lona Nanna, from 2009 through 2016, allegedly knew about outside business activities engaged in by Robert Lawson, the CEO of Lawson Financial Corporation’s (LFC), according to a Complaint… Read more »

Paul Wescoe Smith—Private Securities Transaction

Cleveland stockbroker fraud attorney

Paul Wescoe Smith Allegedly Engaged in a Private Securities Transaction Paul Wescoe Smith, formerly associated with Bolton Global Capital in Wayne, Pennsylvania, allegedly engaged in a private securities transaction, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Investors who believe they may have… Read more »

Christopher Hickman– Unsuitable Pattern of Short-term Trading

Christopher R. Hickman Allegedly Engaged in an Unsuitable Pattern of Short-term Trading of UIT’s in Six Customer Accounts; Hickman’s Clients Allegedly Lost Approximately $115,989.75 Christopher Hickman, of Delray Beach, Florida and a former advisor at Cetera Advisors, allegedly engaged in a pattern of unsuitable short-term trading of UIT’s in six customer accounts with purported losses… Read more »

James Keith Cox— Recommen ding Unsuitable Annuity Transactions to a Customer

Cleveland stockbroker fraud lawyer

James Keith Cox, of Baton Rouge, Allegedly Recommended Unsuitable Annuity Transactions to a Customer and Took in $25,460 Related to the Exchange James Keith Cox, of Baton Rouge, allegedly recommended unsuitable annuity transactions to a customer and took in $25,460 in relation to the exchange, according to a recent Letter of Acceptance, Waiver and Consent… Read more »

Kyle Harrington & Linda Milberger — Undisclosed Private Securities Transactions

Rochester stockbroker fraud attorney

Kyle P. Harrington Allegedly Engaged in Undisclosed Private Securities Transactions and Also Attempted to Hide Them from National Securities Corporation; Linda Milberger Allegedly Helped Create False Documents to Submit to FINRA to Hide Said Misconduct Kyle Harrington allegedly engaged in undisclosed private securities transactions and also made attempts to conceal them from National Securities Corporation while Linda… Read more »

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