Category: Misappropriated Funds
Former Parkland Securities, LLC broker Patrick Thayer (CRD# 5735955) is accused of misappropriating funds that led to investment losses. He was registered with LPL Financial LLC in Lebanon, Ohio, from 2020 to 2022. Previously, he was registered with Parkland Securities, … Continue reading
Can I recover losses due to investments with UBS Financial Services Inc. broker Sean Kennedy (CRD# 5755114)? He has been registered with Rockefeller Financial LLC in New York, New York, since 2022. Previously, he was registered with UBS Financial Services … Continue reading
Former LPL Financial LLC broker John Terzis (CRD# 1805020) regarding was barred by FINRA related to misappropriation of client funds. He was registered with LPL Financial LLC in Skokie, Illinois, from 2008 to 2022, when he was terminated regarding, “Failed … Continue reading
Former UBS Financial Services Inc. broker Clifford Virgin III (CRD# 1878876) faces a customer complaint related to misappropriation. He has been registered with RBC Capital Markets, LLC in Florham Park, New Jersey, since 2021. Previously, he was registered with UBS … Continue reading
There are options for clients of UBS Financial Services Inc. broker Ricardo Villar (CRD# 4497494) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Coral Gables, Florida since 2010. Ricardo Villar Customer Complaints He has … Continue reading
Can I recover losses from investments with former Morgan Stanley broker Doug McKelvey (CRD# 4502849) regarding misappropriated funds? He was registered with Morgan Stanley in Southlake, Texas from 2009 to 2022, when he was terminated regarding “representative’s unauthorized activity and … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Fernando Silva (CRD# 7326519) regarding misappropriated funds. He was registered with Morgan Stanley in Tucson, Arizona from August 2021 to September 2022, when he was terminated regarding, “Allegations that the representative … Continue reading
Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Ernest Frerking (CRD# 2588177) regarding broker misconduct. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Austin, Texas from 1999 to 2021, when … Continue reading
Barred former First Financial Equity Corporation broker Robert High (CRD# 4568165) faces accusations of misappropriation of funds and forgery. He was registered with First Financial Equity Corporation in Scottsdale, Arizona from 2012 to 2019. In February 2019, the Federal Bureau … Continue reading
Erez Law is currently investigating former Morgan Stanley broker Bruce Davis (CRD# 1183438) regarding investment fraud. He has been registered with Wells Fargo Clearing Services, LLC in Aventura, Florida since 2019. Previously, he was registered with Morgan Stanley in Aventura, … Continue reading