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Seth Stewart (CRD#: 5467292), a registered representative with Center Street Securities, Inc. (CRD#: 26898) in Jeffersonville, Indiana, is currently involved in two pending customer disputes over unsuitable and illiquid investment products, according to his BrokerCheck record accessed on March 17, 2020.   On December 3, 2019, a client alleged that Seth Stewart recommended illiquid investments and […]

Raz Razvi (CRD#: 3042006), formerly of Lincoln Financial Securities Corporation (CRD#: 3870), has been suspended from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to Razi Razvi’s suspension by FINRA? It all began on April 9, 2018, when a […]

Jeffrey Cohen (CRD#: 2528929), a registered representative with Moloney Securities Co., Inc. (CRD#: 38535) in Manchester, Missouri, is currently involved in four pending customer disputes in which clients are seeking nearly $6 million in damages, according to his BrokerCheck record accessed on March 17, 2020.  On August 23, 2019, Jeffrey Cohen became involved in a […]

Daryl Serizawa (CRD#: 2293939), a registered representative with Woodbury Financial Services, Inc. (CRD#: 421) in Irvine, California, is currently involved in a customer dispute over private placements, according to his BrokerCheck record accessed on March 3, 2020. On December 23, 2019, Daryl Serizawa became involved in a customer dispute in which clients allege that Daryl […]

Mark Cline (CRD#: 3206962), a registered representative with National Securities Corporation (CRD#: 7569) in Wildwood, Florida, is currently involved in 12 customer disputes over unsuitable investments, according to his BrokerCheck record accessed on March 3, 2020. All of the disputes involve allegations that Mark Cline recommended unsuitable investments. Date of Customer Dispute Nature of Dispute […]

Jeff Leach (CRD#: 3231849), a registered representative with Morgan Stanley (CRD#: 149777) in Naples, Florida, is currently involved in a pending customer dispute in which a client is seeking $3 million in damages, according to his BrokerCheck record accessed on March 3, 2020. Why is Jeff Leach involved in this $3 million dispute? On January […]

David Melilli (CRD#: 5254172) has been terminated from his role as a broker at Cambridge Investment Research, Inc., according to his BrokerCheck record accessed on February 20, 2020. Cambridge Investment Research discharged David Melilli on January 23, 2020 after the firm found that he placed discretionary trades without proper authorization. What is unauthorized trading? Unauthorized […]

Kevin Meadows (CRD#: 2878889), a former broker with IBN Financial Services, has been suspended from the securities industry, according to his BrokerCheck record accessed on February 20, 2020. On January 28, 2020, Kevin Meadows entered into an Acceptance, Waiver, and Consent (AWC) agreement with FINRA, the Financial Industry Regulatory Authority. He consented to FINRA’s findings […]

James Kirchner (CRD#: 2852217), a registered representative with Cabot Lodge Securities LLC (CRD#: 159712) in Chicago, Illinois, is currently involved in three pending customer disputes totaling $675,000, according to his BrokerCheck record accessed on February 20, 2020. On January 21, 2020, customers filed a complaint against James Kirchner, alleging that he recommended unsuitable private placements […]

Jeffrey Dixson (CRD#: 4166311), formerly a registered representative with Madison Avenue Securities, LLC (CRD#: 23224) in Vancouver, Washington, is currently involved in four pending customer disputes totalling $1 million. The dispute stem from allegations that he recommended unsuitable alternative investments to clients, according to his BrokerCheck record accessed on February 3, 2020. On July 18, […]

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