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 […]

FINRA, the Financial Industry Regulatory Authority, has issued its July 2019 monthly report of disciplinary actions levied against brokers and brokerage firms. The report includes information about brokers barred by FINRA for document forgery and annuity churning, among other activities, as well as brokers suspended by FINRA for improperly liquidating variable annuities and engaging in […]

Trevor Rahn (CRD#: 2196155), a 26-year veteran of the securities industry whose experience spans five firms, is involved in a pending customer dispute filed on June 12, 2019 in which a client alleges that “[the] financial advisor engaged in a pattern of unauthorized trading and margin use in customer’s account in order to generate commissions […]

Chuck Laubach (CRD#: 1097453), a 36-year veteran of the securities industry whose career spans seven firms and who is currently registered with Capital Portfolio Management in Timonium, Maryland, entered into an AWC on June 20, 2019 in which he consented to a ten-day suspension by FINRA for effecting discretionary transactions without proper authorization, according to […]

Larry Peggs (CRD#: 1219721), currently a registered representative with Ameriprise Financial Services, Inc. in Seminole, Florida, is involved in a pending customer dispute regarding the dispersal of annuity death benefits. According to Peggs’ BrokerCheck report accessed on August 6, 2019, “the estate of a decedent and the decedent’s ex-wife, allege that AFSI, Peggs and several […]

On June 11, 2019, Nicolas Barrios (CRD#: 2122824) entered into an Acceptance, Waiver & Consent (AWC)  with FINRA, the Financial Industry Regulatory Authority, in which he consented to FINRA’s decision to permanently bar him from the securities industry. According to his BrokerCheck accessed on August 2, 2019, “Without admitting or denying the findings, Barrios consented […]

On June 17, 2019, John Wyshak, whose 33 years of experience in the securities industry spanned nine firms, became involved in a customer dispute. The allegations are “unauthorized trading, suitability, excessive commissions, violations of industry standards, violation of FINRA Rule 2020, NYSE Rule 405, breach of fiduciary duty, negligent retention, fraud, omission of material facts, […]

Anthony “Tony” Frederick Hobson (CRD #: 4212302), a broker with Money Concepts Capital Corp. of Griffith, Indiana, is currently involved in a customer dispute regarding alternative investments, according to his BrokerCheck report accessed on July 31, 2019. In the complaint dated June 11, 2019, according to Anthony Frederick Hobson’s BrokerCheck report, “Customer alleges between April […]

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