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Articles Tagged with misrepresentation

Kevin McCoy (CRD#: 4557189), a broker with Cetera Investment Services LLC (CRD#: 15340) and a Registered Investment Adviser (RIA) with Cetera Investment Advisers LLC (CRD#: 105644), both of The Woodlands, Texas, is currently involved in two pending investor disputes over structured products, according to his BrokerCheck record accessed on June 22, 2020. What led to […]

JeremyRosen (CRD#: 5513416), a registered representative with Nationwide Planning Associates, Inc. (CRD#: CRD#: 31029) in Easton, Pennsylvania, is currently involved in four pending customer disputes over unsuitable investments, according to his BrokerCheck record accessed on May 27, 2020. Read on to learn more about these customer complaints against Jeremy Rosen. Jeremy Rosen’s recent troubles began […]

James Kelly (CRD#: 4362408), a registered representative with UBS Financial Services, Inc. (CRD#: 8174) in Chicago, Illinois, is currently involved in two pending customer disputes in which customers are seeking a total of $800,000 in damages, according to his BrokerCheck record accessed on May 8, 2020. Read on to learn more about what led to […]

Eric Bachinsky (CRD#: 1002854), a registered representative with Raymond James & Associates, Inc. (CRD#: 705) in Palm Beach Gardens, Florida, is currently involved in a pending dispute over suitability in which a client is seeking over $200,000 in damages, according to his BrokerCheck record accessed on April 23, 2020. How did this dispute come about? […]

Shelley Eddy (CRD#: 4862159), a registered representative with PeachCap Securities, Inc. (CRD#: 25590) in Atlanta, Georgia is currently involved in five pending customer disputes, according to her BrokerCheck record accessed on March 26, 2020. The clients are seeking nearly $200,000 in damages. On October 28, 2019, a client alleged that Shelley Eddy mismanaged her investments […]

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, […]

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