Tammie Farrell (CRD #: 2475931), a broker registered with Capital Investment Group, is involved in two disputes alleging fraud, according to her BrokerCheck record, accessed […]
Suihock Goy (CRD #: 2821380), a broker registered with Ni Advisors, is involved in several investor disputes, according to his BrokerCheck record, accessed on January […]
Anthony Pitta (CRD #: 1958029), a broker formerly registered with Capital Investment Group, is involved in disputes alleging fraud, according to his BrokerCheck record, accessed […]
Investors Seek $42.2 Million in Damages in Disputes with Chuck Roberts
Jan 26, 2025
Investor Disputes
Chuck Roberts (CRD #: 2064602), a broker registered with Stifel, Nicolaus & Company, allegedly violated state and federal laws, according to his BrokerCheck record, accessed […]
Terry Bailey (CRD #: 1935959), a broker formerly registered with LPL Financial, allegedly forged client signatures, according to his BrokerCheck record, accessed on January 4, […]
Michael Lucas (CRD #: 5695141), a broker formerly registered with Mutual of Omaha Investor Services, resigned from an investment advisory firm, according to his BrokerCheck […]
Li Kelly Subject of Investor Dispute
Jan 21, 2025
Investor Disputes
Li Kelly (CRD #: 6115397), a broker formerly registered with HSBC Securities (USA), is involved in an investor dispute, according to her BrokerCheck record, accessed […]
Gregory Macko (CRD #: 2367315), a broker registered with Buell Securities, was subject to an investor dispute, according to his BrokerCheck record, accessed on January […]
Travis Alexander (CRD #: 5504338), a broker formerly registered with Raymond James Financial Services, allegedly made misrepresentations to clients, according to his BrokerCheck record, accessed […]
Rachel Chapman (CRD #: 6058136), a broker formerly registered with Artist Capital, has been barred by FINRA, according to her BrokerCheck record, accessed on December […]