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Articles Posted in Customer Complaint

On October 21, 2019, Ronald Roach (CRD#: 3216784) pled guilty to two felonies: conspiracy to commit wire fraud, as well as violations of Section 17(a) of the Securities Act, in conjunction with his involvement in a massive Ponzi scheme, according to his BrokerCheck record accessed on December 18, 2019 He entered his plea before the […]

Robert Gianchiglia (CRD#: 2117250), a registered representative with USA Financial Securities Corporation, is current involved in a $200,000 customer dispute, according to his BrokerCheck report accessed on January 7, 2020. Why is Robert Gianchiglia involved in this customer dispute? Clients, who filed the complaint on November 19, 2019, allege that Robert Gianchiglia misrepresented a private […]

Mercer Hicks (CRD#: 245170), a registered representative with Southeast Investments, N.C., Inc., has found himself the subject of a Financial Industry Regulatory Authority (FINRA) complaint over Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 14, 2020. According to a December 20, 2019 complaint, FINRA is alleging that Mercer Hicks duped […]

Darren Oglesby (CRD#: 2480135), a registered representative with Money Concepts Capital Corp. (CRD#: 12963) in Monroe, Louisiana, is currently involved in a $100,000 customer dispute over suitability, according to his BrokerCheck record accessed on January 6, 2010. What happened to lead to Darren Oglesby’s involvement in this $100,000 customer dispute? Customers alleged that the investment […]

Mike Sievert (CRD#: 2127441), a registered representative with Arkadios Capital (CRD#: 282710) in Jacksonville, Florida, is currently involved in two pending customer disputes over GPB private placements. The customers in these disputes are seeking damages totaling $700,000, according to his BrokerCheck record accessed on January 3, 2020. What happened to lead to these disputes? On […]

Dennis Nakamura (CRD#: 819626), formerly a registered representative with McNally Financial Services Corporation (CRD#: 121196) in Moraga, California, has been barred from the securities industry, according to his BrokerCheck record accessed on January 6, 2020. What happened to lead to Dennis Nakamura’s permanent bar from the securities industry? He refused to provide on-the-record testimony to […]

Ashley Woodard (CRD#: 4703144), a registered representative with NYLIFE Securities LLC (CRD#: 5167) in Greenville, South Carolina, has seven pending customer complaints, according to his BrokerCheck record accessed on January 8, 2020. On October 14, 2019, a customer alleged that Ashley Woodard recommended “various alternative, illiquid and unsuitable securities.” One month later, on November 15, […]

Francis Aurino (CRD#: 1754375), a registered representative with Morgan Stanley (CRD#: 149777) in Beverly Hills, California, is currently embroiled in a $685,610 customer dispute in which a client alleges that he recommended unsuitable investments from 2000 to 2019. When a broker recommends investment products, they should make sure that they are suitable for their clients. […]

Larry Cohen (CRD#: 3191796), a registered representative with Aegis Capital Corp. (CRD#: 15007) in New York, New York, is currently involved in a customer dispute over real estate projects in which the clients are seeking nearly $2.5 million in damages, according to his BrokerCheck record accessed on January 8, 2020. What happened to lead to […]

Jingbo Pan (CRD#: 5266959), a registered representative with Coastal Equities, Inc. (CRD#: 23769) in New York, New York, recently became subject to a customer complaint in which a client alleged that he breached his fiduciary duty and engaged in negligence. The client is requesting $125,000 in damages and the matter is pending, according to Jingbo […]

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