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Securities Lawyers Blog

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Advisor Stuart Pearl Sanctioned By Regulatory and Subject to Customer Complaints

According to BrokerCheck records financial advisor Stuart Pearl (Pearl), currently employed by International Assets Investment Management, LLC (International Assets) and formerly employed by David A. Noyes & Company (David A. Noyes) has been subject to five customer complaints, two terminations for cause, and one regulatory action during his career.  According…

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Broker Audrey Croft Subject to Multiple Tax Liens and Several Customer Complaints

Broker Audrey Croft (Croft), currently employed at Ameriprise Financial Services, LLC (Ameriprise), has been subject to at least three customer complaints and an astonishing ten tax liens during the course of her career. Her customer complaints allege misrepresentation and unsuitable recommendation. Croft’s BrokerCheck report shows a substantial amount of disclosures…

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Broker Paul Porter Accused of Unauthorized Trading and Making Unsuitable Recommendations

Financial advisor Paul Porter, currently employed at Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to at least four customer complaints during the course of his career. His most recent customer complaints allege unauthorized trading and unsuitability. All of Porter’s complaints have occurred at Wells Fargo – his…

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Broker John Timberlake Accused of Making Unsuitable Recommendations and Failure to Supervise

John Timberlake (Timberlake), a previously registered broker formerly employed at Carter Terry & Company, Inc. (Carter Terry), has been subject to at least four customer complaints during the course of his career. His most recent customer complaints allege Timberlake of making unsuitable trading recommendations. Additionally, Timberlake was recently discharged from…

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Broker Sebastian Wyczawski Accused of Making Unsuitable Recommendations and Failure to Supervise

Broker Sebastian Wyczawski, currently employed at Joseph Stone Capital, LLC., (Joseph Stone) has been subject to at least three customer complaints during the course of his career. His most recent customer complaints allege unsuitability and failure to supervise.  According to a BrokerCheck report, in June 2018, Wyczawski was alleged of…

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Advisor and Broker Ralph Byer Accused of Making Unsuitable Investment Recommendations

Advisor and broker Ralph Byer (Byer), currently employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch), has a substantial complaint history. Byer has been subject to at least seven customer complaints during the course of his career. According to a BrokerCheck report, the majority of his customer complaints…

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National Securities Advisor Troy Goldberg Has Private Placement Complaints

Advisor Troy Goldberg (Goldberg), currently employed by National Securities (National Securities) has been subject to at least 13 customer complaints during the course of his career.  According to a BrokerCheck report the six most recent customer complaints filed since 2019 appear to concern unsuitable investments in private placements investments.  These…

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Broker Chadwick David Carrick Accused of Churning and Making Unsuitable Investments

Broker, Chadwick Carrick (Carrick), currently employed at The Jefferey Matthews Financial Group, LLC, has been subject to at least two customer complaints and one employment termination for cause over the course of his career. The two most recent occurring in 2018.  According to a BrokerCheck report, the customer complaints include…

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National Securities Advisor Kevin Dziubela Has Suitability Customer Complaints

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kevin Dziubela (Dziubela), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints during the course of his career.  Dziubela’s customer complaints alleges that Dziubela recommended unsuitable investments in various…

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Advisor Bruce Ciallella Has Suitability Customer Complaints

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career.  Ciallella’s customer complaints alleges that Ciallella recommended unsuitable investments in…

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