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Articles Tagged with breach of fiduciary duty

Atul Makharia (CRD#: 5070762), a registered representative with Centaurus Financial, Inc. (CRD#: 30833) in Lexington, Kentucky, is currently involved in five pending customer disputes totaling nearly $1.3 million, according to his BrokerCheck record accessed on March 24, 2020. On February 18, 2020, a customer filed a complaint against Atul Makharia, alleging that he recommended unsuitable […]

Scot Fairchild CRD#: 2323211), a registered representative with Lucia Securities, LLC (CRD#: 37179) in Henderson, Nevada, is currently involved in a customer dispute in which clients allege that Scot Fairchild placed them in unsuitable, high-risk, illiquid investments, according to Scot Fairchild’s BrokerCheck record accessed on February 28, 2020. What allegedly happened to lead to this […]

Anthony Buono (CRD#: 5761641), a registered representative with National Securities Corporation (CRD#: 7569) in New York, New York, is currently involved in a $150,000 customer dispute over unsuitable investments. On December 2, 2019, a client filed a complaint against Anthony Buono, alleging that the broker recommended unsuitable investments and breached his fiduciary duty, putting his […]

Jingbo Pan (CRD#: 5266959), a former registered representative with Coastal Equities, Inc. (CRD#: 23769) in New York, New York, has been terminated from that firm, according to Jingbo Pan’s BrokerCheck record accessed on March 18, 2020.  What happened to lead to Jingbo Pan’s termination? The company found that he failed to get prior principal approval […]

Rusty Tweed (CRD#: 2339324), a registered representative with Cabot Lodge Securities, LLC in San Marino, California who does business as Tweed Financial Services (CRD#: 159712) is currently involved in several customer disputes, including one in which a client alleges that Rusty Tweed misrepresented investments and recommended unsuitable investments, according to his BrokerCheck report accessed on […]

Michael Sims (CRD#: 1034180), formerly a registered representative with Wedbush Securities in Santa Rosa, California, is currently involved in a $250,000 customer dispute.  A client, who filed the dispute on August 13, 2019, alleges “excessive trading, inappropriate investments, mismanagement of account, excessive commissions and lack of supervision,” according to Michael Sims’ BrokerCheck record accessed on […]

FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a client alleges “unsuitable investments, negligent hiring, failure to supervise, misrepresentations and omissions, and breach of purported settlement agreement,” according to his BrokerCheck record. The claimant […]

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