Investment Misconduct Blog

Marquardt Law Office LLC is representing investors in 1 Global Capital. If you lost money to 1 Global Capital or 1 West Capital, call (312) 945-6065 to schedule a free consultation or click here to read more.

Customer Disputes against Former Wells Fargo Broker David Manor

According to FINRA public records, former broker David Manor has two disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Manor between January 2016 and April 2018.  The first claim alleged misrepresentation of an investment and an unsuitable investment recommendation.  This claim settled

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Former Morgan Stanley Broker Francis Ciabattoni has Pending Customer Dispute

FINRA public records show two disclosed customer disputes against former broker Francis John Ciabattoni.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Francis Ciabattoni has one settled customer dispute filed in February 1999 and one pending dispute filed in March 2018.  The settled claim alleged unsuitable investments and misrepresentations.  The

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Pending Claim against Former UBS Broker Martin McLaughlin Alleges Unsuitable Investments

According to FINRA public records, former broker Martin McLaughlin has a pending customer dispute.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. The customer dispute against McLaughlin was filed in January 2018.  The claim is still pending and the damage amount requested is $529,795.34. The dispute alleges unsuitable investments with

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Customer Disputes against Former Broker Frederick Mueller Allege Unsuitable Investments and Unauthorized Trades

According to FINRA public records, former broker Frederick August Mueller Jr. has six disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Mueller between July 2012 and February 2018.  Two claims have settled for $30,000 and $330,000.  One claim was closed with no

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Allegations of Unsuitability and Misrepresentation for Former Broker Michael Bingham Ballard

According to FINRA public records, former broker Michael Bingham Ballard (Mike Ballard) has seven disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Ballard between May 2014 and January 2018.  Four claims have settled for amounts ranging from $25,000 to $531,120.  One claim

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Customer Disputes against broker John Stephen Pronovost for Unsuitable Mutual Fund

According to FINRA public records, broker John Stephen Pronovost has four disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Pronovost between March and May 2018.  The claims request damages amounts between $26,044.79 and $150,000.  All claims are pending.  Disputes against Pronovost allege

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Allegations of Excessive Trading and Unsuitable Investment Recommendation for Merrill Lynch Broker Charles Kenahan

According to FINRA public records, broker Charles Ernest Kenahan has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Kenahan between February 2018 and May 2018.  All claims are pending and allege excessive trading and unsuitable investment recommendations.  The most recent claim

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Customer Disputes Allege Unpaid Loans by Barred Broker Gregory Levine

According to FINRA public records, former broker Gregory Alan Levine (Greg Alan Levine) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Levine between June 2015 and March 2018.  All claims have settled for payouts ranging from $2,589 to $155,000. The

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Invest in United RL, Percipience, or First Nationale? You May Be Able to Recover Your Losses.

Marquardt Law Office has received calls about losses in United RL Capital Services and Percipience Global Corporation.  The firm is interested in speaking with any individuals whose broker or investment advisor was involved in their investing in these companies or First Nationale Solution. On June 19, 2018, the Securities and Exchange Commission (“SEC”) filed federal

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Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes

According to FINRA public records, CoreCap Investments broker Holly Marie Maurer has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Holly Maurer’s customers filed the claims between August 2017 and March 2018.  All claims are pending and request damages from $110,000 to $250,000.  The customer claims

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