Latest Securities Lawyer News

Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.

Garrick Paolo Montenegro (CRD: 2882898) is a securities broker based in New York, New York, who has worked for UBS Financial Services Inc. since June 24, 2011. Disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck describe investor allegations involving possible investment losses. Here is what the dispute involves and how Montenegro has responded. UBS Clients […]

Michael Fisher (CRD 4056114) faces a pending customer claim alleging unsuitable trading in discretionary accounts, according to his BrokerCheck report. Claimants filed the claim on September 12, 2026, under docket number 26-01997, while Fisher was registered with Ameriprise Financial, and they seek compensatory damages of between $500,000 and $1,000,000.

William Sandeman (CRD 831384) consented to FINRA findings that he willfully violated Regulation Best Interest by recommending that 81 retail customers purchase and hold volatility-linked and non-traditional exchange-traded products as long-term investments, according to his BrokerCheck report. FINRA filed the case, numbered 2022073920901, on October 5, 2026, while Sandeman was registered with Wedbush Securities.

John Alex (CRD: 2020710) settled customer disputes at Morgan Stanley and UBS Financial Services between 2011 and 2025, according to BrokerCheck, which lists him as John L. Alex.

Investors have reportedly disputed the sales practices of securities broker Stephen Edward White (also known as Steve White) [CRD: 3052632, Los Angeles, California], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. White worked for UBS Financial Services Inc. from September 19, 2008, to November 2, 2021, before joining Rockefeller Financial LLC on […]

Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more […]

Investors apparently complained about securities broker Raymond Samuel Byers [CRD: 2590926, Mishawaka, Indiana], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raymond Byers has worked for UBS Financial Services Inc. since January 29, 2009. Read on to discover more about the disclosures involving Raymond Byers. UBS Investor Accused Byers Of Unsuitable Advice […]

Investors have reportedly disputed the sales practices of securities broker Christopher A. Pesce [CRD: 3274301, Melville, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pesce worked for UBS Financial Services Inc. from October 18, 2010, to November 21, 2025, before joining Wells Fargo Advisors Financial Network LLC and Wells Fargo […]