Latest Securities Lawyer News

James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.

Securities broker Richard Allen Ganim Jr., also known as Rick Ganim (CRD: 2447068), is based in Broadview Heights, Ohio, and is the subject of a client complaint involving alleged investment losses. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures, Ganim has worked for LPL Financial LLC since February 15, 2017, and Stratos Wealth Partners, […]

Bruce Lawrence Klein [CRD: 1588544], a securities broker based in Chicago, Illinois, is the subject of a client complaint involving alleged financial harm, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Klein has been registered with CIBC World Markets Corp. since October 31, 2017, and with CIBC Private Wealth Advisors Inc. since November […]

Timothy Joseph McIntosh (CRD: 2726005) is a financial advisor based in Tampa, Florida, who has been registered with Visionary Horizons LLC since April 13, 2023. He previously worked for PVG Asset Management Corp from December 20, 2016, to April 20, 2023. His Investment Adviser Public Disclosure (IAPD) report lists a pending client complaint alleging a […]

Matthew Thomas Nadeau (CRD: 4637541), a securities broker in Roseville, California, was named in an investor dispute involving possible investment losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nadeau has been registered with Kingswood Capital Partners since May 20, 2021, and with Kingswood Wealth Advisors since January 10, 2023. He was also […]

Jeremiah Beguesse (CRD: 6121650), a former securities broker in Atlanta, Georgia, is among the defendants in an SEC case involving alleged misuse of investor funds and possible investor losses. Beguesse worked with Alexander Capital L.P. from May 2020 through August 2021. Here's a closer look at the allegations and his alleged role. SEC Alleges Jeremiah […]

Reed Haimson [CRD: 5533993], a securities broker based in Chicago, Illinois, disclosed a client arbitration over investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Haimson worked for Great Point Capital LLC from December 13, 2019, to May 1, 2026, and worked for Great Point Advisors LLC from May 22, 2020, to December […]

Keegan De Silva (CRD: 7227138), a securities broker based in Chicago, Illinois, is named in a client arbitration involving alleged investment losses, according to disclosures in Financial Industry Regulatory Authority (FINRA) BrokerCheck. De Silva was registered with Great Point Capital LLC from March 4, 2020, to May 1, 2026, and has been registered with Quincy […]

Investors who believe they suffered losses because of Norman Phillip Fuchs (CRD: 721017), a securities broker in Miami, Florida, may want to review the disclosures on his FINRA BrokerCheck record. Fuchs worked for Hapi Securities LLC from February 23, 2022, to May 5, 2025, and Planner Securities LLC from February 22, 2018, to May 31, […]