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Articles Tagged with customer complaint

Rod Potratz (CRD#: 2367896), a registered representative with FSC Securities Corporation (CRD#: 7461) in Clive, Iowa, is currently involved in a customer dispute in which a client is seeking $6 million in damages, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 21, 2019, clients […]

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, […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Robert Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC (CRD#: 151604) in Lake Oswego, Oregon, is currently involved in three customer disputes over GPB private placements, according to his BrokerCheck record accessed on February 3, 2020. GPB is accused of running a Ponzi scheme. In February 2019, the FBI raided the New […]

Kari Bracy (CRD#: 5656186), a former registered representative with NYLife Securities in Jacksonville Beach, Florida, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) after she refused to provide requested information to FINRA as they were investigating her for selling Future Income Payments, according to her BrokerCheck record accessed on […]

Michael Burkoff (CRD#: 2751980), a registered representative with National Securities Corporation (CRD#: 7569), is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on November 23, 2020. On December 2, 2019, a customer filed a complaint against Michael Burkoff, alleging that he recommended unsuitable investments and breached his […]

Kyle Davis (CRD#: 2995789), a registered representative with Ameriprise Financial Services, Inc. (CRD#: 6363) in Atlanta, Georgia is currently involved in a $500,000 customer dispute, according to his BrokerCheck record accessed on January 23, 2020. On December 3, 2019, Kyle Davis became involved in a customer dispute. A client alleges that he engaged in fraud, […]

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 […]

Victor Rigoni (CRD#: 4272056), a registered representative with Cetera Advisor Networks, LLC in Lake Forest, Illinois, is currently involved in two customer disputes totalling nearly $200,000, according to his BrokerCheck record accessed on January 23, 2020. On December 3, 2019, Victor Rigoni became involved in a customer dispute in which a client alleges that he […]

Felix Chu (CRD#: 2427593), formerly a registered representative with NYLIFE Securities, has been indefinitely suspended from the securities industry, according to his BrokerCheck record accessed on January 21, 2020. What happened to lead to Felix Chu’s indefinite suspension from the securities industry? On August 29, 2019, Felix Chu became involved in a customer dispute. Clients […]

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