Broker / Advisor Investigations - Page 45 of 45 - Law Offices of Robert Wayne Pearce, P.A

Mar 4, 2022

Todd Williams of Fidelity Brokerage Services

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.

Mar 4, 2022

Danny Sookram of Equitable Advisors

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.

Mar 2, 2022

Brett Ellen of Metric Financial Inc.

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.

Feb 17, 2022

Anthony Branca formerly with Woodstock Financial Group, Inc.

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.

Feb 7, 2022

Abyssinia Vanterpool of Goldman Sachs & Co. LLC

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.

Jan 20, 2022

Francis Aurino of Morgan Stanley

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.

Jan 20, 2022

Andrew Nardella of First Allied Securities

Andrew Paul Nardella formerly with First Allied Securities Has 3 Customer Complaints for Alleged Broker Misconduct Nardella (CRD #1799354) who was formerly registered with First Allied Securities and located in Cazenovia, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Andrew Nardella was associated with 1st Discount Brokerage and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.

Jan 20, 2022

Daniel Brunette of First Allied Securities, Inc.

In his career, Daniel Brunette has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Nine of Daniel Brunette’s 16 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Daniel Brunette’s current employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct.