Dennis Haywood (CRD#: 5850275), a registered representative with Crown Capital Securities, L.P. (CRD#: 6312) in Land O’ Lakes, Florida, is currently involved in three pending customer disputes over unsuitable investment recommendations, according to his BrokerCheck record accessed on May 27, 2020. The investments at issue are variable annuities, Real Estate Investment Trusts, and Business Development […]
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 […]
When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full March 2020 report can be viewed here. In the most serious […]
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 […]
Mark Cline (CRD#: 3206962), a registered representative with National Securities Corporation (CRD#: 7569) in Wildwood, Florida, is currently involved in 12 customer disputes over unsuitable investments, according to his BrokerCheck record accessed on March 3, 2020. All of the disputes involve allegations that Mark Cline recommended unsuitable investments. Date of Customer Dispute Nature of Dispute […]
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 […]
Eddie Shechter (CRD#: 2772177), a registered representative with Spencer-Winston Securities Corporation (CRD#: 8300) in Jersey City, New Jersey, has been suspended by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 16, 2020. What allegedly happened to lead to Eddie Shechter’s suspension from the securities industry? On November 17, 2019, […]
Darren Oglesby (CRD#: 2480135), a registered representative with Money Concepts Capital Corp. (CRD#: 12963) in Monroe, Louisiana, is currently involved in a $100,000 customer dispute over suitability, according to his BrokerCheck record accessed on January 6, 2010. What happened to lead to Darren Oglesby’s involvement in this $100,000 customer dispute? Customers alleged that the investment […]
Pratul Agnihotri (CRD#: 4031797), a registered representative with SW Financial in Melville, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on December 19, 2019. What’s going on? On October 18, 2019, FINRA “made a preliminary determination to recommend that disciplinary action be brought against” […]
JoePat Roop (CRD#: 2774470), a registered representative with Dempsey Lord Smith, LLC (CRD#: 141238) in Belmont, North Carolina, is currently involved in a customer dispute in which a client alleges that he recommended unsuitable alternative investments, including Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 3, 2020. The activity in […]
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