Angelo Vitale (CRD#: 2793984), a registered representative with Alexander  Capital, L.P. (CRD#: 40077) in New York, New York is currently involved in a customer dispute in which a client is seeking nearly $400,000 in damages, according to his BrokerCheck record accessed on April 29, 2020. What happened to lead to this dispute? Read on to […]

Nate Clay (CRD#: 4525541), who formerly worked as a broker for Laidlaw & Company (UK) Ltd. (CRD#: 119037), has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 27, 2020.  On March 18, 2020, Nate Clay failed to respond to FINRA’s request for information. As a result, […]

Terry Anderson (CRD#: 2374045), formerly of First Allied Securities, Inc. of Parker, Colorado and Capital Asset Management, was terminated and is currently involved in a customer dispute, according to his BrokerCheck record accessed on April 27, 2020. What happened?  On March 17, 2020, Terry Anderson became involved in a customer dispute in which a client […]

Freddy Berens (CRD#: 18877), a registered representative with Wells Fargo Clearing Services LLC (CRD#: 19616) in Miami, Florida, is currently embroiled in a pending customer dispute over Puerto Rican bonds in which a client is seeking $1.5 million in damages, according to his BrokerCheck record accessed on April 27, 2020. How did this dispute come […]

Robert David (CRD#: 5211223), a former registered representative with Morgan Stanley (CRD#: 149777) in Farmington Hills, Michigan, was recently the subject of a customer dispute over suitability, according to his BrokerCheck record accessed on April 27, 2020. While this matter has been settled, Robert David’s BrokerCheck record lists several other pending customer complaints. On March […]

Dennis Ayre (CRD#: 5365176), a registered representative with Hilltop Securities (CRD# 6220) in Beverly Hills, California, is currently embroiled in three customer disputes in which clients are seeking more than $8 million in damages, according to his BrokerCheck record accessed on April 20, 2020.  How did Dennis Ayre become involved in these disputes? On March […]

As the COVID-19 crisis wreaks havoc on the financial markets and unscrupulous individuals try to capitalize on the vulnerability of investors to make a quick buck, the Securities and Exchange Commission has suspended trading in over 20 stocks, according to Law360. The majority of these stocks traded on the Over-the-Counter (OTC) Markets.  The OTC Market […]

Viqas Akhtar (CRD#: 5624412), a registered representative with National Securities Corporation (CRD#: 7569) in Miami, Florida, is currently involved in two customer disputes over suitability, according to his BrokerCheck record accessed on April 23, 2020. It all started on March 4, 2020, when a customer filed a suitability complaint against Viqas Akhtar. The customer is […]

Robert Radli (CRD#: 1076710), a broker with Raymond James & Associates, Inc. (CRD#: 705) in Palm Beach Gardens, Florida, is currently involved in a customer dispute in which a client is seeking $800,000 in damages, according to his BrokerCheck record accessed on April 22, 2020. On March 24, 2020, a client filed a complaint against […]

Kevin Nevin (CRD#: 2460059), a registered representative with Dempsey Lord Smith LLC (CRD#: 141238) in Edina, Minnesota, is currently involved in one pending dispute over suitability, according to his BrokerCheck record accessed on April 22, 2020.  On March 30, 2020, a customer filed a complaint against Kevin Nevin, alleging that he made unsuitable investments. The […]

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