• ER

Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX
Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX 150 150 ER

Steve Baaden Investigation August, 2022 – Dallas, TX  The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ
Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA
Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA 150 150 ER

Scott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records,  Scott K. Spruth,  a broker  who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…

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Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD
Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD 150 150 ER

Brian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…

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Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL
Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL 150 150 ER

Micheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records,  Michael Peter Sloan,  a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA
Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA 150 150 ER

Neal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of  Neal Nakagiri,  a broker formerly with NPB Financial Group where he was also President/ CEO,  discloses a 5 prior customer disputes…

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Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA
Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA 150 150 ER

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records,  Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA,  discloses 8 prior customer complaints, 2 pending…

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LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ
LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ 150 150 ER

LeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of  LeFranc Junior Joseph,  a broker with David Lerner Associates ,  discloses a pending customer dispute.…

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  • Robert Rex, Esq.

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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  • Robert Rex, Esq.

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account
J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Robert Rex, Esq.

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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