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Articles Tagged with customer dispute

Christopher Miller (CRD#: 4044818), a registered representative with Emerson Equity LLC (CRD#: 130032) in San Mateo, California, is currently involved in a pending customer dispute with an elderly client over a securitized Tenant-in-Common investment, according to his BrokerCheck record accessed on March 25, 2020.  How did this dispute come about? On February 23, 2020, a […]

Shelley Eddy (CRD#: 4862159), a registered representative with PeachCap Securities, Inc. (CRD#: 25590) in Atlanta, Georgia is currently involved in five pending customer disputes, according to her BrokerCheck record accessed on March 26, 2020. The clients are seeking nearly $200,000 in damages. On October 28, 2019, a client alleged that Shelley Eddy mismanaged her investments […]

The Securities and Exchange Commission (SEC) has barred former broker Herbert Hafen (CRD#: 867068), according to his BrokerCheck record accessed on March 25, 2020. This comes after he was barred by FINRA, was the subject of numerous customer complaints, and ultimately pled guilty to investment fraud. On September 4, 2019, before the U.S. District Court […]

Michael Hood (CRD#: 1809589), a registered representative with Morgan Stanley (CRD#: 149777) in Greenwood Village, Colorado, is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, clients filed a customer complaint in which they allege, among other things, that Michael […]

Eladio Santiago (CRD#: 3060628), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543) in Fulton, Maryland, is currently involved in two customer disputes in which clients allege that he recommended unsuitable investment products and mismanaged their portfolios, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, Eladio Santiago became […]

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 […]

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 […]

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