Our securities fraud attorneys are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against Brian Egan (Egan) formerly associated with Independent Financial Group LLC (Independent Financial) alleging that the broker failed to disclose his trading activity in client accounts away from the firm. According to brokercheck records…
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Douglas Studer (Studer) formerly associated with Kovack Securities Inc. (Kovack) alleging unauthorized trading among other claims. According to brokercheck records Studer has been subject to two customer complaints, one bankruptcy in 2010, and…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Perry De Leeuw (De Leeuw) – a/k/a Perry De Leeun, Perry Deleeuw. According to brokercheck, in June 2016 De Leeuw failed to respond to FINRA’s requests for information resulting in a bar. The FINRA investigation…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Adam Estes (Estes). According to the FINRA action, Estes consented to the sanctions and findings that he participated in private securities transactions totaling over $1.2 million without providing prior written notice his brokerage firm –…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against brokers Neal Moon (Moon) and Natalie Fogiel Moon (Fogiel). According to the FINRA complaint, from February 2012 to August 2015, Moon participated in nine private securities transactions and Fogiel, his wife, participated in six private securities…
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Dominic Tropiano (Tropiano) currently not associated with any broker-dealer. The complaints against Tropiano allege unsuitable investments, unauthorized trading, fraud, and breach of fiduciary duty among other claims. Many of the complaints involve leveraged…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Donnie Ingram (Ingram) currently associated with Centaurus Financial, Inc. (Centaurus) alleging unsuitable investments among other claims. According to brokercheck records Ingram has been subject to eight customer complaints. Many of the complaints involve direct…
Our firm is investigating claims made by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) when the firm terminated broker Jon Schmidhammer (Schmidhammer). According to the firm, Schmidhammer was discharged in July 2016 after allegation were made that Schmidhammer resigned after his arrest for allegedly stealing money from a client. According…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Martinsen (Martinsen) currently associated with Centaurus Financial, Inc. (Centaurus) alleging unsuitable investments, breach of fiduciary duty, misrepresentations, and fraud among other claims. According to brokercheck records Martinsen has been subject to five customer…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser). According to FINRA settlement, Balser consented to sanctions that he refused to appear for testimony and provide documents and information to FINRA concerning allegations that he engaged in private…