Complaints Filed Against Wells Fargo Brokers Joseph Esposito, Keith Keply Jr., Thomas Jackson Wells Fargo Clearing Services (CRD#: 19616, St. Louis Missouri), which also does business as Wells Fargo Advisors, is a brokerage firm and investment adviser firm regulated by Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and state securities regulators. Apparently, […]

Customers Allege Merrill Lynch Brokers Sold Unsuitable Investments Soreide Law Group is investigating excessive trading, misrepresentation and suitability claims on behalf of customers who invested with Merrill Lynch , Pierce, Fenner & Smith incorporated (CRD#: 7691, New York, New York) securities brokers and financial advisors including Matthew Martin Howley, Matthew Allen Ashley, Jon Monk and Robert […]

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 […]

Customer Disputes Sales Practices Of UBS’ John Seiberling Fulton John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida) is a UBS Financial Services Inc. financial advisor. He has been registered with the firm since July 10, 2002. Fulton reported on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that a customer lodged a dispute about […]

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, […]

UBS’ David Howard Fagenson Allegedly Misrepresented Investments David Howard Fagenson (CRD#: 1652012, Palm Beach, Florida) is a securities broker who previously worked for UBS Financial Services Inc. between September 3, 2010 and October 19, 2016. UBS Financial Services Inc. reported on Fagenson’s FINRA BrokerCheck Report that a customer of Fagenson’s had made false promises about […]

Buckman, Buckman & Reid, Inc. VP Investigated For Failure To Supervise Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business […]

SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is a previous registered representative of Windsor Street Capital, LP (May 29, 2014 to November 17, 2017). The Securities and Exchange Commission (“SEC”) charged Aquino with defrauding Windsor Street Capital investors by way of his excessive trading. […]

Customer Files Complaint Against Hilltop Securities Over Excessive Trading Walter Roland Valenzuela (CRD#: 2280224, Del Mar, California) has been a registered representative of Hilltop Securities Inc. since December 10, 2008. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Hilltop Securities Inc. customer filed a complaint on July 23, 2018 refencing Valenzuela’s misconduct. Hilltop Securities […]