Unauthorized Trades

Did you suffer investment losses due to recommendations by former Northwestern Mutual Investment Services, LLC broker Donnell Bowen (CRD# 5641822)? Bowen was registered with Northwestern Mutual Investment Services, LLC in Washington, DC from 2009 to 2017, when he was terminated regarding, “The Registered Representative signed a Mutual Termination Agreement while under internal investigation for allegations […]

Were you the victim of former Hornor, Townsend & Kent, LLC broker Clay Erickson (CRD# 1583644)? Erickson was registered with Hornor, Townsend, & Kent, Inc. in Salt Lake City, Utah from 2011 to 2016, when he was terminated regarding, “Registered representative was discharged from the member firm after being suspended by FINRA from association with […]

There are options for customers who suffered investment losses due to recommendations by former Morgan Stanley broker Eugene Gordon (CRD# 4744448). Gordon has been registered with Fortune Financial Services, Inc. in Palo Alto, California since 2018. Previously, Gordon was registered with Morgan Stanley Smith Barney in Palo Alto, California from 2009 to 2018, when he […]

Were you the victim of former First Standard Financial Company LLC broker Philip Sparacino (CRD# 3243960)? Sparacino was registered with First Standard Financial Company LLC in Red Bank, New Jersey from 2014 to 2019, when he was terminated regarding, “State of NJ revocation order.” In November 2019, FINRA barred Sparacino after he, “consented to the […]

Did you lose money investing with former National Securities Corporation broker Vincent Mazza (CRD# 4332577)? Mazza was registered with National Securities Corporation in Jersey City, New Jersey from 2006 to 2018. In October 2019, FINRA barred Mazza after he failed to respond to FINRA request for information. Mazza has been the subject of six customer […]

Former First Allied Securities broker Masood Azad (CRD# 4798445) is accused of false and misleading statements causing his clients to suffer investment losses. Azad was registered with First Allied Securities in League City, Texas from 2015 to 2017, when he was terminated regarding, “RR violated firm policy relating to borrowing money from clients, engaging in […]

Were you the victim of former Lincoln Financial Advisors Corporation broker George Schmidt Jr. (CRD# 1082936)? Schmidt has been registered with Lincoln Financial Advisors Corporation in Melville, New York from 2012 to 2019, when he was terminated regarding, “Registered Representative was terminated after allegation of misappropriation related to undisclosed outside business activity serving as Trustee […]

National Securities Corporation broker Rushdi Zalatimo (CRD# 3105039) is accused of private placement losses. Zalatimo has been registered with National Securities Corporation in Jersey City, New Jersey since 2001. Zalatimo has been the subject of three customer complaints between 2001 and 2019, according to his CRD report. The most recent complaint is regarding: September 2019. […]

There are options for customers of former J.P. Morgan Securities LLC broker Eric Silvestre (CRD# 3171573) who suffered investment losses. Silvestre has been registered with Western International Securities, Inc. in Santa Monica, California since September 2019. Previously, Silvestre was registered with J.P. Morgan Securities LLC in Santa Monica, California from 2012 to 2019, when he […]

There are options for customers of Dawson James Securities, Inc. broker Danilo Fuentes (CRD# 2596044) who suffered investment losses. Fuentes has been registered with Dawson James Securities, Inc. in Columbia, Maryland since 2007. Fuentes has been the subject of nine customer complaints between 1999 and 2018, according to his CRD report. Recent complaints are regarding: […]