Andrew Corbman Lawsuit

Who Is Andrew Corbman? Andrew Corbman Investigation. KOVACK SECURITIES INC was ordered to pay $428,250 on behalf of Andrew Corbman in a customer dispute for Violations of the Virginia Securities Act, Common Law Fraud, Securities Fraud, Breach of Fiduciary Duty, Unsuitability, Negligence, and Breach of Contract. Broker Andrew Corbman was suspended from FINRA in 2016…. Read more »

Ernest Romer Lawsuit

Ernest Romer Lawsuit From approximately 2014 through 2016, Romer defrauded at least 30 of his retail brokerage customers out of approximately $2.7 million. During that time period, Romer worked as a registered representative associated with CoreCap Investments, Inc., a registered broker-dealer with the SEC (“CoreCap Investments”). Romer persuaded at least 30 of his customers to… Read more »

David Fagenson Investigation

Who is David Fagenson? David Fagenson Investigation Industry regulator FINRA has suspended a former UBS broker for alleged excessive trading in elderly client accounts. According to a letter of acceptance, waiver, and consent published by FINRA, David Fagenson allegedly “engaged in quantitatively unsuitable trading” in the accounts of three clients, who ranged in age from their 70s to… Read more »

Shimshon Plotkin Lawsuit | Broker Misconduct

Who Is Shimshon Plotkin? | Shimshon Plotkin Lawsuit Shimshon Plotkin is a Chevy Chase, Maryland broker. Plotkin is currently registered with Independent Financial Group (IFG) and was previously registered with Pacific West Securities, Cambridge Investment Research, Royal Alliance Associates, and Sun Investment Services Company. Plotkin currently has 7 FINRA Brokercheck Disclosures, including Awards, Judgements, and… Read more »

Gary Mastrodonato Lawsuit | Broker Misconduct

Who Is Gary Mastrodonato? | Gary Mastrodonato Lawsuit Gary Mastrodonato is an Oriental, North Carolina broker. After bouncing around the industry, Mastrodonato was most recently registered with Madison Avenue Securities. Mastrodonato currently has 4 Brokercheck Disclosures, including a pending Customer Dispute for “violations of FINRA Rule 2110, Violations of FINRA Rule 2111, Negligence, Misrepresentations and… Read more »

Eddie Lyons Lawsuits | Broker Misconduct

Who Is James “Eddie” Lyons? | Shreveport Golfer Turned Broker James Edward Lyons, better known as Eddie, was a Shreveport broker for Raymond James & Associates in Shreveport, LA. Eddie is well-known in the Shreveport-Bosier City golf community due to his past amateur golfing successes. However, he is now gaining infamy in the area for… Read more »

Austin Dutton Lawsuits

Austin Dutton Lawsuits | Who Is Austin Dutton? Austin Dutton was the Doylestown, PA broker who marketed real estate securities to clients that included Philadelphia police officers and firefighters. Dutton promised that these investments would have attractive yields, but proved difficult to market when the time came to sell. Now, he’s back in business: Dutton… Read more »

Harbor Capital Advisory Services | American Portfolios

Invest with Frank or Jeremy Monte? American Portfolios Financial Services of Holbrook, NY Found Liable for a Failure to Supervise Harbor Capital Brokers. On November 2, 2017, a Financial Industry Regulatory Authority (“FINRA”) Arbitration Panel awarded Elizabeth Jachles (“Libby”), a retired Brighton teacher, $461,377.15 to be paid by American Portfolios Financial Services, Inc. The award is the result… Read more »

Alliance Bernstein & Eaton Vance 401k Performance and Fee Investigation

Alliance Bernstein & Eaton Vance 401k Performance and Fee Investigation Peiffer Wolf Carr & Kane is investigating Alliance Bernstein and Eaton Vance employee 401(k) accounts. Our initial investigation has uncovered that Alliance Bernstein and Eaton Vance have inserted substantial amounts of their own proprietary funds, allowing both of these companies to earn fees from their… Read more »

Schorsch REIT Disaster Lawsuit

Schorsch REIT Disaster Lawsuit The share price of Nicholas Schorsch’s American Finance Trust, Inc. (AFIN) REIT plummeted since trading began on July 19. If you invested in AFIN, the securities attorneys at Peiffer Wolf Carr & Kane, APLC may be able to help you recover any losses. Nicholas Schorsch’s American Finance Trust, Inc. (AFIN) Real… Read more »