Merrill Lynch Broker Michael Tanha Receives Severe Suspension for Outside Business Activities and Pr
Former Cambridge Broker Anselmo Contreras Barred for Stealing Funds From Customers
Steven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ Accou
Former Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) and
Former LPL Financial Advisor James Bylenga Barred for Personal Loans with Customer
Former David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive Trading
Ameriprise Broker Corey Lee Mireau Disciplined for Undisclosed Personal Loans with Customers and Out
Financial Advisor James B. Eichner, Jr. Disciplined for Discretionary Trades in Customers’ Accounts
FINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer F
Financial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple Clients
Financial Advisor Juergen Weber Barred for Unsuitable Investment Recommendations to Customers
Unauthorized Trading Claims
FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda
Former AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities Law
How to Sue Financial Advisor for Unsuitable Investments
Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun
FINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund Recommen
Former PFS Investments Broker Daniel Winger Barred for Stealing Funds From a Customer
Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account
Financial Advisor Charles Lewis Bloom Barred for Unsuitable Investment Recommendations to Customers