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Articles Tagged with misrepresentation

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 […]

Jeff Miller (CRD#: 5393445), a registered representative with American Portfolios Financial Services, Inc. (CRD#: 18487) in Fairfield, New Jersey, is currently involved in a customer dispute over misrepresentation and suitability, according to his BrokerCheck record accessed on February 28, 2020. What happened to lead to this customer complaint against Jeff Miller? On December 23, 2019, […]

Scot Fairchild CRD#: 2323211), a registered representative with Lucia Securities, LLC (CRD#: 37179) in Henderson, Nevada, is currently involved in a customer dispute in which clients allege that Scot Fairchild placed them in unsuitable, high-risk, illiquid investments, according to Scot Fairchild’s BrokerCheck record accessed on February 28, 2020. What allegedly happened to lead to this […]

Dustin Shafer (CRD#: 4198962), a registered representative with Newbridge Securities Corporation (CRD#: 104065) in Springfield, Illinois, is currently involved in two pending customer disputes in which clients are seeking $629,000 in damages, according to his BrokerCheck record accessed on February 20, 2020. On January 3, 2020, a customer alleged that Dustin Shafer misrepresented private placements […]

Kyle Davis (CRD#: 2995789), a registered representative with Ameriprise Financial Services, Inc. (CRD#: 6363) in Atlanta, Georgia is currently involved in a $500,000 customer dispute, according to his BrokerCheck record accessed on January 23, 2020. On December 3, 2019, Kyle Davis became involved in a customer dispute. A client alleges that he engaged in fraud, […]

Heather Weber (CRD#: 2911524), currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), is currently involved in a customer dispute in which a client alleges that Heather Weber recommended unsuitable investments and made misrepresentations, according to her BrokerCheck report accessed on October 23, 2019. The client, who filed the dispute […]

FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Bob Weissbein (CRD#: 1089065), a registered representative with First Allied Securities, Inc. of Davie, Florida who does business as Complete Financial Inc., is currently involved in a dispute in which a client alleges he recommended unsuitable investments, breached his fiduciary duty, and engaged in negligence, according to his BrokerCheck record accessed on August 22, 2019. […]

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