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Articles Tagged with customer complaint

John Grillo (CRD#: 2643787), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543), is currently involved in a pending dispute over unsuitable investments, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a client filed a customer complaint against John Grillo, alleging that John Grillo misrepresented a fund he […]

Mickey Schreiber (CRD#: 1032600), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a customer is seeking nearly $100,000 in damages, according to his BrokerCheck record accessed on March 24, 2020.  On February 11, 2020, a client filed a complaint […]

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 […]

Dan Vazquez (CRD#: 3141463), a former registered representative who has been barred by FINRA, is the subject of a final judgment by the Securities and Exchange Commission (SEC) according to his BrokerCheck record accessed on March 23, 2020. He has pled guilty to fraud in connection with real estate investments.  On January 12, 2018, the […]

Ken Hutkin (CRD#: 1344519), a registered representative with Wedbush Securities Inc. (CRD#: 877) in New York, New York, is currently involved in a pending customer dispute over unsuitable investments. This comes seventeen months after he was terminated from Morgan Stanley Wealth Management for engaging in outside business activities, according to his BrokerCheck record accessed on […]

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 […]

Ray Thomas  (CRD#: 1675282), a former registered representative with Network 1 Financial Securities, Inc. (13577), is currently the subject of a Financial Industry Regulatory Authority (FINRA) regulatory action, according to his BrokerCheck record accessed on March 16, 2020.  On March 6, 2020, the FINRA Department of Enforcement filed a complaint against Ray Thomas, alleging that […]

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 […]

Ralph Jackson (CRD#: 1569213), a registered representative with Morgan Stanley (CRD#: 149777) in Los Angeles, California, is currently involved in two pending customer disputes totaling $640,000, according to his BrokerCheck record accessed on March 3, 2020. On January 3, 2020, Ralph Jackson became involved in a customer dispute in which a client alleged that Ralph […]

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