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6 February 2020 - Rod Potratz, of FSC Securities, Involved in $6 Million Customer Dispute over Alternative Investments
6 February 2020 - Jeffrey Dixson, Former Madison Avenue Registered Rep, Currently Involved in Four Customer Disputes Over Alternative Investments
6 February 2020 - Bill Fox, of First Allied Securities, Involved in Dispute over Real Estate Investment Trusts and Private Placements
6 February 2020 - Robert Smith, of Concorde Investment Services, Involved in Several Disputes Over GPB, Totalling Nearly $2 Million
6 February 2020 - Kerry Wills Suspended by FINRA for Borrowing $150,000 from Elderly Client
6 February 2020 - Kari Bracy, Former NYLife Securities Broker, Barred by FINRA Over Future Income Payments Investigation
6 February 2020 - Ed Matthes, Barred Broker, Charged with Fraud
30 January 2020 - ARO Equity LLC, Thomas Renison, and Timothy Allcott Charged with Fraud
30 January 2020
- Johnny Guan, of Aegis Capital Corp., Involved in Pending Customer Dispute Over Suitability and Overconcentration
6 February 2020 - Jerry Wells, New York Broker, Suspended from the Securities Industry Over Variable Annuity Misrepresentations
30 January 2020 - Bart Bohrer, of Calton & Associates, Involved in Three Pending Customer Dispute Totalling Over $900,000
23 January 2020 - Moe Azizi, Registered Rep with Centaurus Financial, Involved in Customer Dispute Over Unsuitable Investments
27 November 2019 - Joseph Pratt, Former Pennsylvania Broker, Barred by FINRA for Alleged Insider Trading
27 November 2019 - Richard Pittman, Registered Rep with Cetera Advisors, Involved in $150,000 Dispute Over Suitability
6 November 2019 - Former Broker Kevin Fretz of South Windsor, Connecticut Terminated from LPL for Keeping Blank Forms Pre-Signed by Customers
6 November 2019 - Texas Financial Advisor Yvonne Silguero Involved in $500,000 Dispute Over Misrepresentation
10 October 2019 - PeachCap Securities Broker David Miller Involved in $1.2 Million Dispute Over Investment Performance
10 October 2019
- Timothy Millis: Ex-NYLife Rep Resigns Over Alleged Unsuitable Mutual Fund Switches
22 May 2019 - James Bylenga: Ex-LPL Rep Barred by FINRA over Customer Loan Allegations
22 May 2019 - Edward Matthes: FBI Investigation Against Barred Ex-Mutual of Omaha Rep
22 May 2019 - Earl Midgette: LPL Rep Terminated Over Discretionary Trading Allegations
22 May 2019 - Philip Noto: $668,000 Pending Complaint Against Suspended Ex-First Standard Rep
17 May 2019 - John Horseman: REIT Complaint Against LPL Rep
17 May 2019 - Stephen Trowbridge: Kestra Terminates Rep Over Alleged Policy Violations
17 May 2019 - Kirk Badii: Suitability Complaint Against UBS Rep
17 May 2019 - Michael Murphy: $22.5 Million Complaint Against Columbus Advisory Group Rep
17 May 2019
- Sepsis in Nursing Homes: Know the Facts
6 February 2020 - Elderly Resident Allegedly Physically Abused at Cumberland Manor Nursing and Rehabilitation Center in Hopeland Township, New Jersey
23 January 2020 - Low Point for HighPointe: HighPointe on Michigan Nursing Home in Buffalo, NY Fined $500,000 After Two Residents Die
3 January 2020 - Elderly Resident Allegedly Physically Abused at Bishop Rehabilitation and Nursing Center in Syracuse, New York
6 December 2019 - Rosewood Rehabilitation and Nursing Center in Rensselaer, New York Cited for Failing to Report Sexual Abuse Allegations
13 November 2019 - Brooklyn’s Palm Gardens Center for Nursing and Rehabilitation, Site of Alleged Deadly Ventilator Incidents, Reckons with Alleged Fatal Fungus Outbreak and Other Issues
10 October 2019 - What You Should Know About Candida auris, the “Unbeatable” Drug-Resistant Fungus Ravaging Nursing Homes
2 October 2019 - Feds: New York Nursing Home Medford Multicare Center for Living Allegedly Drugging Residents, Delaying DNRs
25 September 2019 - Feds: New York’s Utica Rehabilitation & Nursing Center Among Worst in the Country
18 September 2019
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