Former Morgan Stanley broker Douglas McKelvey (CRD# 4502849) is accused of defrauding his own mother and another relative, according to Barrons. He was registered with Morgan Stanley in Southlake, Texas, from 2009 to 2022, when he was terminated regarding, “Allegations … Continue reading
Former Western International Securities, Inc. broker Jeffrey Higgins (CRD# 2871443) was barred by FINRA related to allegations that he misappropriated client funds for 17 years. He was registered with Western International Securities, Inc. in Baker City, Oregon, from 2017 to … Continue reading
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
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
Were you the victim of former Morgan Stanley broker Jesus Rodriguez (CRD# 4888685)? Jesus Rodriguez was registered with Morgan Stanley in El Paso, Texas from 2009 to 2021, when he was terminated regarding, “Allegations regarding registered representative’s use of client … Continue reading