Category: Churning
Former Morgan Stanley broker Justin Amaral (CRD# 4440980) is accused of churning customer accounts and generating excessive commissions. Amaral has been registered with Morgan Stanley in Boston, Massachusetts from 2009 to 2014, when he was terminated regarding, “the allegations related … Continue reading
Erez Law is currently investigating former J.P. Morgan Securities LLC broker Barry Snyder (CRD# 2385901) regarding excessive and unauthorized trades. Snyder has been registered with Snowden Account Services LLC in Coral Gables, Florida since September 2019. Previously, Snyder was registered … Continue reading
Laidlaw & Company (Uk) Ltd. broker John Busco (CRD# 825869) is alleged to recommend unsuitable investments and engage in excessive trading. Busco has been registered with Laidlaw & Company (Uk) Ltd. in New York, New York since March 2019. Previously, … Continue reading
Were you the victim of excessive trading with former Laidlaw & Company (UK) Ltd. broker Peter Viglione (CRD# 4697621)? Viglione has been registered with Network 1 Financial Securities Inc. in New York, New York since June 2019. Previously, Viglione was … Continue reading
National Securities Corporation broker Craig Bonn (CRD# 2280460) is accused of unsuitability and excessive trading (churning). Bonn has been registered with National Securities Corporation in New York, New York since 2016. Churning is when a broker conducts excessive trading in … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with former Financial West Group broker Daniel Maughan (CRD# 2561363). Maughan was registered with Financial West Group in Los Angeles, California from 2010 to … Continue reading
Were you the victim of Worden Capital Management LLC broker Michael Stanton (CRD# 1448072)? Stanton has been registered with Worden Capital Management LLC in New York, New York since December 2016. He was previously registered with Legend Securities, Inc. in … Continue reading
There are options for customers of former UBS Financial Services Inc. broker William Hobby (CRD# 2240076). He was registered with UBS Financial Services Inc. in Atlanta, Georgia from 2012 to October 2018, when he was terminated regarding, “FA discharged after … Continue reading
In June 2019, a former client of Legend Securities, Inc., its CEO Anthony Fusco (CRD# 2704753), and three defunct New York firm’s registered representatives won a $966,708 award in a FINRA arbitration. The three brokers involved in this case are … Continue reading
Purshe Kaplan Sterling Investments settled a claim for $9.5 million related to the sale of alternative investments to a Native American tribe, Saginaw Chippewa Indian Tribe of Michigan, by former Purshe Kaplan Sterling Investments broker Gopi Vungarala (CRD# 4856193). It … Continue reading