Financial Advisor Fraud Archives – Page 404 Of 407

Linan Abrego, Merrill Lynch Financial Advisor, Barred For Misappropriating Client Funds

According to the Financial Industry Regulatory Authority (FINRA) Brokercheck, former Merrill Lynch Financial Advisor, Linan Abrego was barred by FINRA for her failure to cooperate with securities regulators in not appearing for on-the-record testimony that was part of FINRA’s investigating allegations that she misappropriated client funds. Linan Abrego was discharged by Merrill Lynch in June […]

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Paul Mauro SagePoint Financial Claims Investigation

Haselkorn & Thibaut law offices (InvestmentFraudLawyers.com) are investigating broker Paul Mauro and SagePoint Financial from Westborough, Massachusetts. According to the BrokerCheck report, Mauro was subject to nine customer disputes, two regulatory actions, and one criminal matter during his career. InvestmentFraudLawyers.com is currently investigating SagePoint also regarding it’s sale of GPB Capital to investors. According to

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Harvest Volatility Management Collateral Yield Enhancement Strategy -Harvest CYES

Haselkorn & Thibaut, P.A., (InvestmentFraudLawyers.com) has announced its investigation into the Harvest Volatility Management Collateral Yield Enhancement Strategy (“Harvest CYES”) that Merrill Lynch Wealth Management’s customers purchased. Merrill Lynch is a division of Bank of America Corp. (NYSE: BAC) that offers broker-dealer services. Harvest CYES was sold to Merrill Lynch’s brokerage customers as a managed

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Janney Montgomery Scott Claims Investigated For Churning High-Fee Mutual Funds

William Galvin, Secretary of the Commonwealth in Massachusetts, has charged Janney Montgomery Scott claims with high trading activities and churning high-fee mutual funds in a complaint that was filed on the 7th of May 2019. In the complaint, a former representative of Janney, Stephen Querzoli, from June 2012 to November 2018, he was selling Class

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Dawson James Securities

Dawson James Securities is based in Boca Raton, Florida. As a broker-dealer registered with the Financial Industry Regulatory Authority (FINRA), Dawson James Securities is required to adopt and implement written supervisory procedures designed to ensure that it is properly and reasonably supervising its financial advisors. In the past, Dawson James Securities has been censured and

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