Broker / Advisor Investigations

Johnny Guan of Aegis Capital

Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct
Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Jason Holland of Truist Investment Services

Jason Holland Of Truist Investment Services And Formerly With PNC Investments And SunTrust Investment Services Has A Customer Complaint For Alleged Broker Misconduct
Mr. Holland (CRD #5620575) who is currently registered with Truist Investment Services and located in Cocoa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Truist Investment Services, Jason Holland was associated with PNC Investments, SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Asa Jewett of Edward Jones

Asa Jewett Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct
Jewett (CRD #4568073) who is currently registered with Edward Jones and located in Portsmouth, Ohio is a subject of one of our many securities industry sales practice abuse investigations.

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Adam Laakko Formerly With MML Investors Services

Adam Laakko Formerly With MML Investors Services And MSI Financial Services Has A Customer Complaint For Alleged Broker Misconduct
Mr. Laakko (CRD #5876826) who was formerly registered with MML Investors Services and located in Grand Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Adam Laakko was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Paul Larson of Larson Financial Securities

Paul Larson Of Larson Financial Securities, Larson Capital Management, Larson Financial Group And Larson Wealth Partners Has 3 Customer Complaints For Alleged Broker Misconduct
Larson (CRD #4422245) who is currently registered with Larson Financial Securities, Larson Capital Management, Larson Financial Group, Larson Wealth Partners and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations.

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Kevin Dicke Formerly With MML Investors Services

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.

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Jeffrey Johnson formerly with Morgan Stanley

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.

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Eric Weschke of Kalos Capital, Inc

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.

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Charles Evans of MML Investors

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.

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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.

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