ATTENTION INVESTORS: Complaints Filed Against Legend Securities Brokers Jonathan Miller, Samuel Girgiss   Legend Securities, Inc. (CRD#: 44952, New York) is a previously registered brokerage firm which FINRA expelled June 21, 2018. Specifically, FINRA’s Hearing Officer issued a Default Decision in FINRA Case #2015048048801 on November 6, 2017, finding the firm violated NASD Rule 3010 […]

Investors File Disputes About Credit Suisse Brokers Lily Pirouzian, Michael Brewster Credit Suisse Securities (USA) LLC (CRD#: 816) is an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial industry Regulatory Authority (“FINRA”). Evidently, to date, the firm reports 272 instances in which securities regulators have […]

INVESTOR ALERT!Customer Complaints About Ralph Quintana II, Centaurus Financial, Inc. Ralph Quintana II (CRD#: 2284803, Upland, California) is currently a broker for Centaurus Financial, Inc. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Quintana shows that at least five investors filed disputes about his conduct. Notably, Pruco Securities, LLC and Centaurus Financial, Inc. customers […]

Dawson James’ Peter Ruggiere Allegedly Made Unsuitable Trades Peter George Ruggiere (CRD#: 2248318, Boca Raton, Florida) has been a Dawson James Securities Inc. broker since February 6, 2008. Investors should be concerned that Peter Ruggiere has disclosed on his FINRA BrokerCheck profile that customers of Dawson James Securities, Inc., Josephthal & Co., Inc., and Newbridge […]

Securities Regulator Finds Justin Amaral Churned Investor Accounts Justin Amaral (CRD#: 4440980, Boston, Massachusetts) is a prior Morgan Stanley securities broker (June 1, 2009 to May 7, 2014) that was referenced in a State of New Hampshire Department of State Bureau of Securities Regulation Consent Order #149777 in which Morgan Stanley agreed to pay three […]

FINRA Bars TCFG Broker Charles Acheson Laverty From Securities Industry Charles Acheson Laverty (CRD#: 4875386, Newport Beach, California) is a former TCFG Wealth Management LLC securities representative who is now barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) pursuant to Hearing Panel Decision #2016050205901 dated November 13, 2018.  The Hearing Panel […]

Financial West Group Broker Sean J. Waters Barred For Churning Sean J. Waters (CRD#: 4414180, Los Angeles, California) is a prior securities representative of Financial West Group who just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”). Pursuant to Letter of Acceptance, Waiver and Consent #2017054755203 dated November 28, 2018, […]

Merrill Lynch Broker Christopher Lee Hibbard Indicted For Fraud Christopher Lee Hibbard (CRD#: 3176484, Louisville, Kentucky) is a prior registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) who was indicted in the United States District Court for the Western District of Kentucky on nine counts of wire fraud and one count […]

Customer Files Suit Against Laidlaw For Churning Account David Michael Murray (CRD#: 1870050, New York, New York) is a prior registered representative of Laidlaw & Company (UK) LTD. According to Murray’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, his sales practices have been contested by customers on four occasions. The disputes concern customers of Laidlaw […]