Sean Parikh (CRD #: 5506554), a previously registered broker with Aegis Capital, has settled an investor dispute, according to his BrokerCheck record, accessed on February 5, 2021. Details about the six-figure dispute are provided below. On May 16, 2017, an investor alleged that Sean Parikh engaged in excessive trading. The investor further alleged that Parikh…

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Steven Lyons (CRD #: 5343894), a Newton, New Jersey broker registered with Raymond James Financial Services, is involved in an investor dispute for over $370,000, according to his BrokerCheck record, accessed on February 4, 2021. On November 13, 2020, an investor alleged that Steven Lyons mismanaged his account, resulting in losses. The investor is seeking…

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Ernest Dahlman (CRD #: 2166217), a broker registered with B. Riley Securities, is facing investor allegations of fraud, according to his BrokerCheck record, accessed on January 26, 2021. On December 16, 2020, an investor alleged that Ernest Dahlman engaged in fraud as well as fraudulent concealment. The investor further alleged that Dahlman was negligent and…

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Larry Michaels (CRD #: 4351477), a broker registered with Crown Capital Securities, is involved in an investor dispute over mutual funds, according to his BrokerCheck record, accessed on January 28, 2021. There is another disclosure on his record that investors should note. On December 1, 2020, an investor alleged that Larry Michaels did not make…

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Harrison Hoyes (CRD #: 5348427), a broker registered with UBS Financial Services, is facing an investor dispute, according to his BrokerCheck record, accessed on January 28, 2021. On December 1, 2020, am investor alleges that Harrison Hoyes recommended unsuitable investments and engaged in negligence. The investor is seeking $347,000; the dispute is pending. As a…

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Andrew Perri (CRD#: 2801727), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to his Investment Adviser Public Disclosure (IAPD) record accessed on July 28, 2020. What happened to lead to this investor dispute? Read on to learn more.  On June…

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Andrew Perri (CRD#: 2801727), a Registered Investment Adviser (RIA) with Pinnacle Wealth Management, Inc. (CRD#: 166853) in Brighton, Michigan, is currently involved in an investor dispute, according to his Investment Adviser Public Disclosure (IAPD) record accessed on July 28, 2020. What happened to lead to this investor dispute? Read on to learn more.  On June…

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Jeff Dillman (CRD#: 2515858), a registered representative with Trustmont Financial Group, Inc. (CRD#: 18312) and a Registered Investment Adviser (RIA) with Money Management Advisory, Inc. (CRD#: 14983) in Feasterville, Pennsylvania, is currently involved in an investor dispute over suitability, according to his BrokerCheck record accessed on July 28, 2020. What happened to lead to this…

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W. Perry Randall (CRD#: 1392233), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543) and a Registered Investment Adviser (RIA) with Cambridge Investment Research Advisors, Inc. (CRD#: 134139) in Illinois, is currently involved in an investor dispute, according to her BrokerCheck record accessed on July 27, 2020. What happened to lead to this dispute?…

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W. Perry Randall (CRD#: 1392233), a registered representative with Cambridge Investment Research, Inc. (CRD#: 39543) and a Registered Investment Adviser (RIA) with Cambridge Investment Research Advisors, Inc. (CRD#: 134139) in Illinois, is currently involved in an investor dispute, according to her BrokerCheck record accessed on July 27, 2020. What happened to lead to this dispute?…

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