Kevin Dicke Formerly With MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct
Mr. Dicke (CRD #4584138) who was formerly registered with MML Investors Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations.
Jeffrey Johnson (CRD #5522469) who was formerly registered with Morgan Stanley and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations.
Jeffrey Johnson has been the subject of at least 2 FINRA investigations, 1 of the investigations related to the nonpayment of arbitration award entered against him. The other investigation related to his alleged participation in an outside business activity in private securities transaction that receiving approval from the firm. Without admitting or denying the allegations, Jeffrey Johnson consented to a seven-month suspension and $10,000 fine.
Eric Peter Weschke with Kalos Capital, Inc. Has 16 of Customer Complaints For Alleged Broker Misconduct
Mr. Weschke (CRD #2486324) who is currently registered with Kalos Capital, Inc. and located in Setauket, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Eric Weschke was associated with 6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Charles Evan (CRD# 836083) who was most recently registered with MML Investors Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Charles Evan was associated with MSI Financial Services, New England Securities and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Evan was terminated by MML Investors, Services in October 2019.
Todd Williams Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With MML Investors Services And Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct
Williams (CRD #5286536) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Woodmere Village, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services and Fidelity Personal And Workplace Advisors, Todd Williams was associated with MML Investors Services, Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Danny Sookram Of Equitable Advisors And Formerly With Aegis Capital Has A Customer Complaint For Alleged Broker Misconduct
Sookram (CRD #6113338) who is currently registered with Equitable Advisors and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Danny Sookram was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Brett Ellen (CRD #1460478) who is currently registered with Metric Financial Inc. and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Metric Financial Inc., Brett Ellen was associated with Arque Capital, Ltd. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Anthony Branca Formerly With Woodstock Financial Group, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Branca (CRD #1178639) who was formerly registered with Woodstock Financial Group, Inc. and located in Woodstock, Georgia is a subject of one of our many securities industry sales practice abuse investigations.
Abyssinia Vanterpool Of Goldman Sachs & Co. LLC Has A Customer Complaint For Alleged Broker Misconduct
Abyssinia Vanterpool (CRD #6362832) who is currently registered with Goldman Sachs & Co. LLC and located in New York, New York is is a subject of one of our many securities industry sales practice abuse investigations.
Aurino (CRD #1754375) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.