Customer Disputes

Customer Disputes against Former Broker Brandon Curt Stimpson

According to FINRA public records, former Logan, Utah based broker Brandon Curt Stimpson has eight disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the claims against Stimpson or his firm, Allegis Investment Advisors, between August 2015 and December 2017.  Customers alleged Stimpson engaged in misconduct

Read More »

Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million

According to FINRA public records, former Dayton, Ohio based broker John Greg Schmidt (Greg Schmidt or John Gregory Schmidt) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms.  Wells Fargo discharged Schmidt in November 2017. Between October 2007 and January 2018, customers filed private arbitration claims

Read More »

Invest with Brian Royster? Two of the Barred Broker’s Customers Recently Settled Claims.

According to FINRA public records, barred broker Brian Lamont Royster (Brian Royster) has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Between October 2013 and January 2018, customers filed disputes seeking damages for Brian Royster’s alleged misconduct.  Allegations include he recommended and misrepresented annuities that were

Read More »

Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money

If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment recovery options. Marquardt Law Office LLC previously reported UBS Financial Services Inc. discharged Maccoll amid its investigation he stole clients’ funds and had several customer claims.  Maccoll previously worked

Read More »

Ten Customer Disputes for Barred Broker Matt Scott Neas

According to FINRA public records, former broker Matt Scott Neas has ten disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Neas between March 2004 and February 2018.  Six disputes have settled for amounts ranging $75,000 to $300,000.  One dispute was closed with

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

Read More »

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

Read More »

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

Read More »

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

Read More »

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

Read More »

Share Page

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up

Recent Posts

Scroll to Top