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Articles Tagged with fraud

Carlos Seda (CRD#: 4228841), a former registered representative with Kovack Securities Inc., is currently involved in two pending customer disputes in which former clients are seeking $375,000 million in damages, according to his BrokerCheck record accessed on March 3, 2020. On November 26, 2018, a client filed a customer complaint against Carlos Seda, alleging that […]

The Securities and Exchange Commission (SEC) has charged former broker Ed Matthes (CRD# 2788055) with defrauding elderly investors out of $2.4 million. The SEC’s complaint, filed on January 28, 2020, alleges that, while a registered representative with Mutual of Omaha Investor Services, Inc. (CRD#: 611), Ed Matthes enticed elderly investors to transfer $1.4 million to […]

 The Securities and Exchange Commission (SEC) charged private investment firm ARO Equity LLC, as well as its principals, Thomas Renison and Timothy Allcott, with fraud, according to a litigation release issued on January 8, 2020. The SEC barred Thomas Renison from the securities industry in July 2014. However, the SEC alleges that Thomas Renison did […]

Dean Grant (CRD# 1945209), a former registered representative with M Holdings Securities, Inc. (CRD#: 43285) in Milledgeville, Georgia, has been barred from the securities industry, according to his BrokerCheck record accessed on January 22, 2020. This comes in the wake of charges that he committed insurance fraud, alleging bilking $1.3 million from investors. On January […]

Jefferey Dyra (CRD#: 6785909), formerly a registered representative with Bankers Life Securities, Inc. (CRD#: 173962) in Naperville, Illinois, has been barred from the securities industry, according to his BrokerCheck record accessed on December 19, 2019. What happened? On November 29, 2019, Dyra consented to the entry of findings that he refused to provide requested documents […]

David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019.  The claimant is requesting $700,000 in damages. This was preceded by a claim filed on […]

Scott Andersen (CRD#: 4412679) is a registered representative with Wedbush Securities (CRD#: 877) who serves as Vice President, Investments at Wedbush Securities in Roseville, California. He is involved in a pending civil complaint for conversion and fraud filed on February 2, 2019, according to his BrokerCheck report accessed on August 12, 2019. This complaint was […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Minnesota-based Dougherty & Company broker John Wilson has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wilson (CRD# 721168). John […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Colorado-based Mid-Atlantic Capital broker/adviser Craig Hayward has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayward (CRD# 2475334). Craig Hayward […]

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