Investor Alert: Timothy Darnell, Termination, and Customer Complaints After SEC Ponzi Allegations Involving First Liberty Investors who worked with Timothy Nathaniel Darnell (CRD#: 6666469) should take note of serious red flags, including his termination from a brokerage firm prior to the filing of customer complaints and ongoing regulatory concerns tied to First Liberty–related investments. Together, these issues raise important questions …
Joel Benanti Named In FINRA Complaint – May Recover Investor Losses
Joel Benanti Named In FINRA Complaint – May Recover Investor Losses Former NETWORK 1 FINANCIAL SECURITIES INC. broker, Joel Benanti Named In FINRA Complaint. Joel Anthony Benanti CRD#: 4210681 Joel Anthony Benanti (CRD#: 4210681), a former broker for NETWORK 1 FINANCIAL SECURITIES INC. in Hauppauge, NY is a respondent in a recent FINRA Complaint. According to Benanti’ FINRA BrokerCheck report, …
Ponzi Scheme Allegations and Regulatory Action Against Equilus Entities – May Recover Investor Losses
Ponzi Scheme Allegations Against Equilus Entities – May Recover Investor Losses Ponzi Scheme Allegations Against Equilus Entities. Investors who purchased interests in Equilus Group, Inc., Equilus Capital Partners, LLC, or related real estate funds should take immediate notice: a recent enforcement action by the Washington State Department of Financial Institutions Securities Division alleges serious misconduct, including Ponzi-like activity, misappropriation of …
RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses
RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses TCFG WEALTH MANAGEMENT, LLC broker, RICK ROBERTS Has A Pending Investor Complaint. RICHARD JAMES ROBERTS RICK ROBERTS CRD#: 2145874 RICHARD JAMES ROBERTS (CRD#: 2145874), a broker for TCFG WEALTH MANAGEMENT, LLC in LAGUNA NIGUEL, CA has a pending investor complaint. According to Roberts’ FINRA BrokerCheck report, Claimant alleges …
DAN HOLZER Has A Pending Investor Complaint – May Recover Investor Losses
DAN HOLZER Has A Pending Investor Complaint – May Recover Investor Losses REALTA EQUITIES, INC. broker, DAN HOLZER Has A Pending Investor Complaint. DAN HOLZER DAN JOHN HOLZER CRD#: 5779187 DAN JOHN HOLZER (CRD#: 5779187), a broker for REALTA EQUITIES, INC. in Wilmington, DE has a pending investor complaint. According to Holzer’s FINRA BrokerCheck report, The claimant alleges unsuitable recommendations. …
SANDY LEFF Has Pending Investor Complaints – May Recover Investor Losses
SANDY LEFF Has Pending Investor Complaints – May Recover Investor Losses CARTER, TERRY & COMPANY, INC. broker, SANDY LEFF Has Pending Investor Complaints. SANDY MEYER LEFF CRD#: 1796695 SANDY MEYER LEFF (CRD#: 1796695), a broker for CARTER, TERRY & COMPANY, INC. in Atlanta, GA has pending investor complaints. According to Leff’s FINRA BrokerCheck report, Two identical customer claims allege unsuitability. …
DAN GOODWIN Has Pending Investor Complaints – May Recover Investor Losses
DAN GOODWIN Has Pending Investor Complaints – May Recover Investor Losses GREAT POINT CAPITAL LLC broker, DAN GOODWIN Has Pending Investor Complaints. DANIEL CORAL GOODWIN DAN GOODWIN CRD#: 5752768 DANIEL CORAL GOODWIN (CRD#: 5752768), a broker for GREAT POINT CAPITAL LLC in The Woodland, TX has pending investor complaints. According to Goodwin’s FINRA BrokerCheck report, Client claims investment recommendation was …
MICHAEL WAGNER Has A $2 Million Investor Complaint – May Recover Investor Losses
MICHAEL WAGNER Has A $2 Million Investor Complaint – May Recover Investor Losses MORGAN STANLEY broker, MICHAEL WAGNER Has A $2 Million Investor Complaint. Claimant alleged FA employed unsuitable options trading strategy. MICHAEL JOHN WAGNER CRD#: 4465334 MICHAEL JOHN WAGNER (CRD#: 4465334), a broker for MORGAN STANLEY in Atlanta, GA has a $2 Million investor complaint. According to Wagner’s FINRA …
MATT GREENE Has An Investor Complaint – May Recover Investor Losses
MATT GREENE Has An Investor Complaint – May Recover Investor Losses LPL FINANCIAL LLC broker, MATT GREENE Has An Investor Complaint. MATTHEW EDWIN GREENE MATT GREENE, MATTHEW EDWIN GREENE MR. CRD#: 3175382 MATTHEW EDWIN GREENE (CRD#: 3175382), a broker for LPL FINANCIAL LLC in Covington, LA has a pending investor complaint. According to GREENE’s FINRA BrokerCheck report, Customer alleges that …
BEN SWEENEY Has Pending Investor Complaints – May Recover Investor Losses
BEN SWEENEY Has Pending Investor Complaints – May Recover Investor Losses MORGAN STANLEY broker, BEN SWEENEY Has Pending Investor Complaints. BENJAMIN JOSEPH SWEENEY BEN SWEENEY, BENJAMIN J SWEENEY CRD#: 2885369 BENJAMIN JOSEPH SWEENEY (CRD#: 2885369), a broker for MORGAN STANLEY in Dallas, TX has three pending investor complaints. According to Sweeney’s FINRA BrokerCheck report, CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT …