Investment Misconduct Blog

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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Customer Disputes for Former Broker Bradley Joseph Tennison

According to FINRA public records, former broker Bradley Joseph Tennison has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Tennison’s most recent customer claim was filed in April 2018.  This claim is pending with a requested damage amount of $300,000.  The customer alleges that Tennison “acted

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Raymond James Broker Matt Werthe has Three Disclosed Customer Disputes

FINRA public records, show three disclosed customer disputes against broker Matthew Jordan Werthe.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed claims against Matt Werthe between August 2016 and April 2018.  The claims are pending and request damage amounts of $252,641, $362,000, and $728,000.  Records state that allegations

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Twelve Customer Disputes against Wells Fargo Broker Regan Rohl

According to FINRA public records, broker Regan Allen Rohl has twelve disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Rohl’s customers filed the claims between May 1999 and February 2018.  The seven most recent claims were filed in 2017 and 2018 and allege unsuitable investments and misrepresentations

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Customer Disputes Against Broker Alvery Anthony Bartlett Jr. Allege More Than $10 Million in Damages

According to FINRA public records, broker Alvery Anthony Bartlett Jr. has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Bartlett’s customers filed the claims between January 2015 and March 2018.  One claim settled for $25,000.  The other claims are pending and request damage amounts of $3,940,000

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Nina Sue Jessee Has Twenty Disclosed Customer Disputes

Update: Marquardt Law Office is pursuing a case to recover investment losses allegedly caused by Nina Sue Jessee. According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, Nina Sue Jessee has Twenty disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. While a claim from 2002 closed with no action and

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Noel Ray Vincent Has Fourteen Disclosed Customer Disputes

According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Noel Ray Vincent has fourteen disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. While five claims filed between 2008 and 2010 were denied, four claims filed between April 2013 and April 2017 settled for collective recoveries to his customers of

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Scott Lindsay Reed Has Nine Disclosed Customer Disputes

According to the Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker Scott Lindsay Reed has nine disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. Scott Reed’s customers filed the claims between May 2017 and April 2018.  All claims are pending.  The requested damage amounts range from $268,000 to $1,681,430.  Claims allege

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Joseph Devlin Coleman Has Fifteen Disclosed Customer Disputes

According to the Financial Industry Regulatory Authority, Inc.’s (FINRA) public records, investment advisor and former broker Joseph Devlin Coleman has fifteen disclosed customer disputes.  FINRA registers and regulates brokers and brokerage firms. Joseph Coleman’s customers filed the claims between February 2001 and January 2018.  Ten of the claims settled in amounts ranging from $15,000 to

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Bradley Everett Gardner, Ex-LPL Broker, Accused of Theft by FINRA

On June 5, 2018, FINRA announced that it permanently barred former securities broker Bradley Everett Gardner from associating with firms registered with FINRA in any capacity.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Gardner after

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