Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former New York-based Voya broker Frederick Monroe has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Monroe (CRD# […]
Former California-based Merrill Lynch broker Roderick Yzaguirre is the subject of ten customer complaints, most relating to allegations of misappropriation.