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Articles Tagged with negligence

Frank Avallone (CRD#: 4814368), a registered representative with National Securities Corporation (CRD#: 7569) in South Norwalk, Connecticut, is currently involved in two pending customer disputes over suitability, according to his BrokerCheck record accessed on May 7, 2020.  Read on to learn more. On November 7, 2019, a customer alleged that Frank Avallone recommended unsuitable investments. […]

Terry Anderson (CRD#: 2374045), formerly of First Allied Securities, Inc. of Parker, Colorado and Capital Asset Management, was terminated and is currently involved in a customer dispute, according to his BrokerCheck record accessed on April 27, 2020. What happened?  On March 17, 2020, Terry Anderson became involved in a customer dispute in which a client […]

Kevin Nevin (CRD#: 2460059), a registered representative with Dempsey Lord Smith LLC (CRD#: 141238) in Edina, Minnesota, is currently involved in one pending dispute over suitability, according to his BrokerCheck record accessed on April 22, 2020.  On March 30, 2020, a customer filed a complaint against Kevin Nevin, alleging that he made unsuitable investments. The […]

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? […]

Michael Hood (CRD#: 1809589), a registered representative with Morgan Stanley (CRD#: 149777) in Greenwood Village, Colorado, is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, clients filed a customer complaint in which they allege, among other things, that Michael […]

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 […]

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 […]

Jingbo Pan (CRD#: 5266959), a former registered representative with Coastal Equities, Inc. (CRD#: 23769) in New York, New York, has been terminated from that firm, according to Jingbo Pan’s BrokerCheck record accessed on March 18, 2020.  What happened to lead to Jingbo Pan’s termination? The company found that he failed to get prior principal approval […]

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

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 […]

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