Ex-UBS Financial Services Broker Robert Turner Investigated For Stealing Clients’ Money Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is looking into claims of losses involving former UBS Financial Services broker Robert Earl Turner. Although no longer a registered broker or investment advisor, Turner worked in the industry…
A former customer of Scott Reed, an ex-Wells Fargo Clearing Services broker, has filed a FINRA arbitration claim. The investor claims Reed made them invest more than $2M in unapproved investments. This resulted in the broker making hundreds of thousands of dollars in undisclosed commissions. FINRA barred Scott Reed in…
Florida Financial Advisor Sold Tuscan Gardens Growth and Income Fund Securities Did you lose money while working with Delta Securities Company registered representative, Sean Donovan Casterline? If so, you may have grounds for pursuing damages. The longtime Florida financial advisor was suspended by FINRA in December 2021. In FINRA’s action,…
Barred SagePoint Financial Broker Accused of Selling Away Grant Christopher Birkley, an ex-SagePoint Financial stockbroker, is named in two pending customer disputes. He is accused of selling investment products that were not approved by his firm. SagePoint Financial fired him last August after he admitted to making referrals to an…
FINRA Suspended Ex-Iowa Stockbroker in 2018 For Selling Away John Michael Krohn, a former Iowa broker with Principal Securities, is named in three customer disputes in which the claimants are collectively pursuing over $39.2M in damages for losses they sustained while working with him. The investors contend that Krohn engaged…
Former Canonsburg, Pennsylvania Stockbroker Faces Selling Away Allegations Three years after the Financial Industry Regulatory Authority (FINRA) barred him, Jonathan Douglas Freeze remains the subject of eight pending customer disputes. Most of these investor claims accuse him of selling away and investing customers’ funds in Alternative Investment Holdings, a North…
James Anderson, an ex-Ameritas Investment Corp. adviser, is now barred by the Financial Industry Regulatory Authority (FINRA) after he failed to participate in a probe into allegations that he had taken part in selling away. Ameritas fired Anderson earlier this year after the brokerage firm’s own investigation found that he…