Drew Reinhardt (CRD #1457827) who is currently registered as a broker and investment adviser with Morgan Stanley and located in Doylestown, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Drew Reinhardt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingPatrick Tantoco (CRD #5249850) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Honolulu, Hawaii, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Patrick Tantoco was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingShelley Moffatt (CRD #2761305) who was formerly registered with Edward Jones and located in Kent, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Shelley Moffatt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingScott Matalon (CRD #4637378) who was formerly registered with RBC Capital Markets, LLC and located in Jericho, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Scott Matalon was associated with Ameriprise Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Matalon has had his own regulatory problems. In 2023, he was permanently barred from any further association with any member firm in any capacity after refusing to cooperate in one of FINRAs investigations of allegations he made in the statement of claim filed against his member firm by one of his clients.
Continue ReadingTimothy Lilleboe (CRD #1273695) who is currently registered as a broker and investment adviser with Morgan Stanley and located in East Lansing, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Timothy Lilleboe was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingTamara Glenn (CRD #4324857) who was formerly registered with LPL Financial LLC and located in East Lansing, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Tamara Glenn was associated with Sigma Financial Corporation, Securian Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingAndrew Douglas (CRD #6873183) who is currently registered as a broker with Castle Placement LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Castle Placement LLC, Andrew Douglas was associated with LPL Financial LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Continue ReadingMirsad Jakupi Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Jakupi (CRD #6688493) who is currently registered as a broker and investment adviser with J.P. Morgan Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Continue ReadingKathleen Hansen (CRD #1372264) who was formerly registered with LPL Financial LLC and located in Long Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Kathleen Hansen was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kathleen Hansen was recently terminated by LPL Financial for acting as a trustee for a non-family member without from approval.
Continue ReadingAvi Bialo Of Arete Wealth Management, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Bialo (CRD #6165479) who is currently registered as a broker and investment adviser with Arete Wealth Management, LLC and located in Los Angeles, California, is a subject of one of our many securities industry sales practice abuse investigations.
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