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Articles Posted in Customer Complaint

Scott Andersen (CRD#: 4412679) is a registered representative with Wedbush Securities (CRD#: 877) who serves as Vice President, Investments at Wedbush Securities in Roseville, California. He is involved in a pending civil complaint for conversion and fraud filed on February 2, 2019, according to his BrokerCheck report accessed on August 12, 2019. This complaint was […]

Peter Huffman (CRD#: 5613027), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, is currently involved in a pending dispute in which a client is alleging he engaged in excessive trading to generate extra commissions (known as “churning”). The client is requesting $2,797,295 in damages, according to Peter Huffman’s […]

A 45-year veteran of the securities industry, Mark E. Jones (CRD#: 261512) is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Denver, Colorado. According to his BrokerCheck report accessed on August 15, 2019, he is currently involved in a pending dispute, filed on May 17, 2019, in which a client […]

Erik Pica (CRD# 4829533), a registered representative with Joseph Stone Capital LLC of New York, New York, is under investigation by FNRA for alleged conversion of funds from customer accounts, according to his BrokerCheck report accessed on August 19, 2019. On July 22, 2019, FINRA launched an investigation into his alleged conversion of customer funds; […]

Nancy Glassman (CRD#: 1734992), currently a registered representative with Morgan Stanley in New York, New York, is involved in a pending dispute in which a client is alleging unsuitability regarding a wrap account, according to her BrokerCheck record accessed on August 13, 2019. The complaint was filed on May 21, 2019 and the client is […]

Eric Niedermeyer (CRD#: 1680870), a registered representative with Wells Fargo Advisors Financial Network in Portland, Oregon, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on August 13, 2019. In the dispute, filed on May 20, 2019, a client “alleges the Bank of America Class B warrants were misrepresented and […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

John Holland (CRD#: 2538118), a registered representative with Summit Brokerage Services, Inc. in Charleston, West Virginia, is currently involved in a pending dispute in which a client alleges “negligence and breach of fiduciary duty,” according to his BrokerCheck report accessed on August 12, 2019. The claim was filed on May 24, 2019 and the client […]

Dean Kajouras (CRD#: 1436548), currently a registered representative with Fordham Financial Management, Inc. of New York, New York is being sued for breach of fiduciary duty, according to his BrokerCheck report accessed on August 6, 2019. On June 8, 2019, Dean Kajouras became involved in a customer dispute in which a client alleges, “misrepresentation, breach […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

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