Robert Mitchell (CRD #: 1523211), a broker registered with Stifel, Nicolaus & Company, was fired from his position at Morgan Stanley Wealth Management, according to his BrokerCheck record, accessed on March 30, 2021. Both his termination and an investor dispute allege that Mitchell engaged in outside business activities – investors should contact a securities attorney…

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Brett Hartvigson (CRD #2263087), a broker registered with Independent Financial Group, is facing client allegations of over-concentration of alternative investments, according to his BrokerCheck record, accessed on December 14, 2020. There are several other disclosures on Mr. Hartvigson’s record that are described in further detail below. On September 17, 2020, a client alleged that Brett…

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Lee Kramer (CRD #: 1465416), a broker and an investment adviser registered with FSC Securities Corporation, is facing two pending investor involving recommendations related to a business development company, according to his BrokerCheck record, accessed September 21, 2020. In addition, Mr. Kramer has faced regulatory actions in six different states and has two disclosures related…

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Robin Bartolomei (CRD#: 2249156), a registered representative with CFD Investments, Inc. (CRD#: 25427) and a Registered Investment Adviser (RIA) with Creative Financial Designs, Inc. (CRD#: 109032) in Rochester, Michigan, is currently involved in a pending investor dispute over suitability, according to their BrokerCheck record accessed on July 20, 2020. What happened to lead to this…

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Sharon Kwan (CRD#: 2578627), now a registered representative with Royal Alliance Associates, Inc. (CRD#: 23131) in Arcadia, California, was previously terminated from National Planning Corporation, according to her BrokerCheck record accessed on July 1, 2020.  On September 25, 2013, Sharon Kwan was terminated from National Planning Corporation. What happened? The firm found that she had…

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Piero DiLorenzo (CRD#: 4670150), a former broker with NYLIFE Securities LLC (CRD#: 5167) in Melville, New York,  has been barred by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 12, 2020.  How did this bar come about? Piero DiLorenzo’s troubles began on June 18, 2019, when NYLIFE Securities LLC…

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Terry Anderson (CRD#: 2374045), formerly of First Allied Securities, Inc. of Parker, Colorado and Capital Asset Management, was terminated and is currently involved in a customer dispute, according to his BrokerCheck record accessed on April 27, 2020. What happened?  On March 17, 2020, Terry Anderson became involved in a customer dispute in which a client…

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Robert David (CRD#: 5211223), a former registered representative with Morgan Stanley (CRD#: 149777) in Farmington Hills, Michigan, was recently the subject of a customer dispute over suitability, according to his BrokerCheck record accessed on April 27, 2020. While this matter has been settled, Robert David’s BrokerCheck record lists several other pending customer complaints. On March…

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John Jaramillo (CRD#: 2659263), a former registered representative, has been terminated from his role as a broker with Western International Securities, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to John Jaramillo’s termination from Western International Securities? On March 5, 2020, the firm found that John Jaramillo sold an…

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Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to Jonathan Greer’s departure from Arete Wealth Management? While Jonathan…

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