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Articles Tagged with misappropriation

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 […]

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 […]

After former registered representative Mike Carter (CRD#: 3232017) twice refused to furnish requested documents relating to theft allegations, FINRA barred him from the securities industry, according to Mike Carter’s BrokerCheck report accessed on September 16, 2019. He entered into an Acceptance, Waiver, and Consent (AWC) consenting to the sanctions. Leading up to the bar, FINRA […]

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 […]

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# […]

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