In July 2025, Former Merrill Lynch broker Isaiah Williams (CRD# 6211219) was arrested following allegations that he stole $2.59 million in funds in more than 130 transactions from the Bank of America account of a former Dolphins defensive safety Reshad … Continue reading
Can you recover investment losses due to recommendations by former Mutual Securities, Inc. broker Julie Darrah (CRD# 2102014)? She was registered with Mutual Securities, Inc. in Orcutt, California, from 2013 to 2022, and with National Planning Corporation in Santa Maria, … Continue reading
Centaurus Financial, Inc. broker Clovis Morrison (CRD# 1730240)is accused of unsuitable investment recommendations. He has been registered with Centaurus Financial, Inc. in Highland Village, Texas, since 1996. In September 1996, the Texas State Securities Board entered a consent order against … Continue reading
Can you recover losses due to recommendations by Morgan Stanley broker James Garrity (CRD# 2005714)? He has been registered with Morgan Stanley in Salt Lake City, Utah, since 2015. He was registered with Credit Suisse Securities (USA) LLC in Washington, … Continue reading
Wedbush Securities Inc. broker Robert Woods (CRD# 820999) is accused of unsuitable investment recommendations. He has been registered with Wedbush Securities Inc. in Los Angeles, California, since 1995. Robert Woods Customer Complaints He has been the subject of one customer … Continue reading
Were you the victim of Westpark Capital, Inc. broker Victor Sibilla (CRD# 1783361)? He has been registered with Westpark Capital, Inc. in Boca Raton, Florida, since 2010. In April 1998, the National Association of Securities Dealers, Inc. ordered him to … Continue reading
There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Antonio Da Roza (CRD# 2087563), who is accused of insurance losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Francisco, … Continue reading
There are options for clients of former J.P. Morgan Securities LLC broker Steven Tann (CRD# 1589757). He has been registered with Wells Fargo Clearing Services, LLC in Los Angeles, California, since 2022. He was registered with J.P. Morgan Securities LLC … Continue reading
Former Financial West Group broker Ford Keeler (CRD# 1696709) faces a customer complaint related to unsuitable investment recommendations. He has been registered with LPL Financial LLC in Grand Junction, Colorado, since 2025. He was previously registered with Western International Securities … Continue reading
There are options for clients of UBS Financial Services Inc. broker John Saunders (CRD# 870131) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Roanoke, Virginia, since 2007. John Saunders Customer Complaints He has been … Continue reading