Can I recover losses from investments with former Spartan Capital Securities, LLC broker Christopher Orlando (CRD# 4136262)? Orlando has been registered with Spartan Capital Securities, LLC in New York, New York from January 2020 to May 2021. Prior to that, … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker William Michetti (CRD# 2185612) who suffered investment losses. Michetti has been registered with Wells Fargo Clearing Services, LLC in Radnor, Pennsylvania since 2000. Michetti has been the subject … Continue reading
In December 2020, FINRA sanctioned Worden Capital Management $1.5 million, as part of a settlement regarding findings that the firm failed to establish, maintain, and enforce a supervisory system reasonably designed to supervise actively traded accounts. The settlement includes $1.2 … Continue reading
Erez Law is currently investigating Purshe Kaplan Sterling Investments broker Brendan Shaw (CRD# 4721215) regarding allegations of fraudulent and excessive trading. Shaw was registered with Purshe Kaplan Sterling Investments in Scottsdale, Arizona from 2012 to 2016. In April 2019, the … Continue reading
There are options for customers of Florida broker John Orlando (CRD# 2002197) who suffered investment losses due to their broker’s recommendations. John Orlando has been registered with SW Financial in Melbourne Beach, Florida since 2019. Previously, John Orlando was registered … Continue reading
In August 2020, FINRA fined Morgan Stanley $950,000, which included $175,000 in fines and $774,574 in restitution to customers in connection with alleged failures to supervise one of its brokers who purportedly churned client accounts. According to a Letter of … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Michael Paesano (CRD# 1557229) regarding investment losses due to churning (excessive trading). Paesano was registered with Morgan Stanley in New York, New York from 2011 to 2017, when he was terminated … Continue reading
Were you the victim of former Morgan Stanley broker Kevin Doyle (CRD# 2102345)? Doyle has been registered with Raymond James & Associates, Inc. in Tulsa, Oklahoma since 2018. Previously, Doyle was registered with Morgan Stanley in Tulsa, Oklahoma from 2009 … Continue reading
Reid & Rudiger LLC broker Edward Rudiger Jr. (CRD# 2118724) faces customer complaints regarding investment losses. He has been registered with Reid & Rudiger LLC in New York, New York, since 1999. Edward Rudiger Jr. Customer Complaints He has been … Continue reading
Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019. In July 2020, FINRA sanctioned Ricker to $75,000 in disgorgement and … Continue reading