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Articles Tagged with unsuitable 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 […]

Mickey Schreiber (CRD#: 1032600), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a customer is seeking nearly $100,000 in damages, according to his BrokerCheck record accessed on March 24, 2020.  On February 11, 2020, a client filed a complaint […]

James Chang (CRD#: 4536266), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Rockville, Maryland who does business as Upright Planning, is currently involved in a customer dispute over unsuitable investment products, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a customer filed a complaint against James […]

Atul Makharia (CRD#: 5070762), a registered representative with Centaurus Financial, Inc. (CRD#: 30833) in Lexington, Kentucky, is currently involved in five pending customer disputes totaling nearly $1.3 million, according to his BrokerCheck record accessed on March 24, 2020. On February 18, 2020, a customer filed a complaint against Atul Makharia, alleging that he recommended unsuitable […]

Dan Vazquez (CRD#: 3141463), a former registered representative who has been barred by FINRA, is the subject of a final judgment by the Securities and Exchange Commission (SEC) according to his BrokerCheck record accessed on March 23, 2020. He has pled guilty to fraud in connection with real estate investments.  On January 12, 2018, the […]

Ken Hutkin (CRD#: 1344519), a registered representative with Wedbush Securities Inc. (CRD#: 877) in New York, New York, is currently involved in a pending customer dispute over unsuitable investments. This comes seventeen months after he was terminated from Morgan Stanley Wealth Management for engaging in outside business activities, according to his BrokerCheck record accessed on […]

Gene Esplin (CRD#: 3133447), a former registered representative with Kalos Capital, Inc. (CRD#: 44337) in Pocatello, Idaho, is currently involved in a customer dispute in which clients are seeking $1 million in damages, according to Gene Esplin’s BrokerCheck record accessed on February 28, 2020. What happened to lead to this dispute? Clients allege that Gene […]

Mark Cline (CRD#: 3206962), a registered representative with National Securities Corporation (CRD#: 7569) in Wildwood, Florida, is currently involved in 12 customer disputes over unsuitable investments, according to his BrokerCheck record accessed on March 3, 2020. All of the disputes involve allegations that Mark Cline recommended unsuitable investments. Date of Customer Dispute Nature of Dispute […]

Aaron Brodt (CRD#: 5017914), a former registered representative with Peachcap Securities, Inc. (CRD#: 25590) in Scottsdale, Arizona, is involved in a $430,000 pending customer dispute, according to his BrokerCheck record accessed on February 21, 2020. Why is Aaron Brodt currently involved in this pending customer dispute? On January 16, 2020, clients alleged that Aaron Brodt […]

Anthony Buono (CRD#: 5761641), a registered representative with National Securities Corporation (CRD#: 7569) in New York, New York, is currently involved in a $150,000 customer dispute over unsuitable investments. On December 2, 2019, a client filed a complaint against Anthony Buono, alleging that the broker recommended unsuitable investments and breached his fiduciary duty, putting his […]

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