Have you lost money investing in variable annuities through Aegis Capital? We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm. FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading…
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FLINT, MICHIGAN Have you lost money with financial advisor Steven Muntin from Flint, Michigan? We are looking into allegations against Steven Muntin by the SEC. Muntin was civilly charged with defrauding an investor. Muntin used his company Executive Asset Management to charge a customer over $300,000 but never actually invested the money. Instead, the money…
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FORT LAUDERDALE, FLORIDA Have you lost money with financial advisor John Orlando, formerly with Westpark Capital and now with SW Financial in Fort Lauderdale, Florida? We are looking into allegations made against John Anthony Orlando. Orlando has been the subject of six customer complaints, four of which were made within the last two years. The…
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MANORVILLE, NEW YORK Have you lost money with financial advisor Sebastian Wyczawski, formerly with Joseph Stone Capital in Manorville, New York? We are looking into allegations made against Sebastian Wyczawski. Wyczawski was suspended from the securities industry for five months, fined $5,000, and ordered to pay $21,644 in restitution by FINRA. FINRA was investigating whether…
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MOORESTOWN, NEW JERSEY Have you lost money with financial advisor David Melilli, formerly with SagePoint Financial and Cambridge Investment Research in Moorestown, New Jersey? We are looking into allegations made against David John Melilli. Melilli was barred from the securities industry by FINRA after he failed to respond to an investigation. FINRA was investigating allegations…
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WINTER HAVEN, FLORIDA Have you lost money with financial advisor Brian Pearce, formerly of FSC Securities Corp. in Winter Haven, Florida? We are looking into allegations made against Brian S. Pearce. FINRA suspended Pearce for seven months, fined him $5,000, and ordered $9,723 in disgorgement. FINRA was investigating Pearce regarding allegations that he sold investments…
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MELVILLE, NY Have you lost money with financial advisor Abdul Rahmani? We are investigation allegations made about Abdul M. Rahmani from Melville, New York. FINRA (the Financial Industry Regulatory Authority) barred Rahmani from the securities industry after he failed to fully cooperate with an investigation. FINRA alleges that Rahmani engaged in an outside business activity…
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JUPITER, FLORIDA Have you lost money with financial advisor Robert Paterson, formerly with Truist Investment Services and BB&T Securities in Jupiter, Florida? We are looking into allegations made against Robert Paterson. Paterson was suspended from the securities industry by FINRA after he failed to respond to an investigation. FINRA is investigating allegations that an investor…
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PALM HARBOR, FLORIDA Have you lost money with financial advisor Courtney Kaplan, formerly with LPL Financial and Wells Fargo in Palm Harbor, Florida? We are looking into allegations made against Courtney Kaplan. Kaplan was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA alleged that Kaplan borrowed money…
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BIRMINGHAM, ALABAMA Have you lost money with financial advisor Glenn Brandon, formerly with BB&T Securities in Birmingham, Alabama? We are looking into allegations made against Glenn E. Brandon, Jr. Brandon was barred from the securities industry by FINRA after he failed to respond to an investigation. FINRA alleged that Brandon engaged in outside business activities…
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