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Unsuitable Investments

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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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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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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