John Nguyen (CRD #: 4919629), a broker registered with Crown Capital Securities, is facing a $1,000,000 investor dispute, according to his BrokerCheck record, accessed on March 29, 2021. Nguyen also offers advisory services through Fit Financial Planning Group. On February 13, 2021, an investor alleged that John Nguyen over-concentrated securities in his portfolio, misrepresented certain…

Read More

Dan Vismor (CRD #: 5321492), a broker registered with David Lerner Associates, is facing an investor dispute, according to his BrokerCheck record, accessed on March 29, 2021. On February 11, 2021, an investor alleged that Dan Vismor recommended unsuitable investments. The investor is seeking $125,000; the dispute is pending. “Suitability” refers to the FINRA requirement…

Read More

Christopher Passero (CRD #: 2517681), a broker registered with Money Concepts Capital, is involved in an investor dispute regarding GPB Capital, according to his BrokerCheck record, accessed on March 31, 2021. This is his fourth investor dispute. On February 1, 2021, investors alleged that Christopher Passero recommended buying shares of GPB Capital. GPB Capital’s CEO…

Read More

Gregory Hill (CRD #: 850818), a broker registered with Emerson Equity, is involved in a second investor dispute, according to his BrokerCheck record, accessed on April 1, 2021. In both disputes, investors are seeking to recover six-figure losses. On January 28, 2021, an investor alleged that Gregory Hill engaged in negligent misrepresentation and negligent supervision.…

Read More

Michael Whitaker (CRD #: 1739854), a broker registered with Newbridge Securities in The Villages, Florida, is involved in his second investor dispute, according to his BrokerCheck record, accessed on March 24, 2021. Whitaker also offers financial advisory services through Michael Whitaker & Associates. On March 2, 2021, an investor alleged that Michael Whitaker breached his…

Read More

Martin Walcoe (CRD #: 1593935), a broker registered with David Lerner Associates, is involved in two investor disputes regarding misrepresentation and omission of facts, according to his BrokerCheck record, accessed on March 24, 2021. In both cases, the investors are seeking six figures. Two Pending Investor Disputes On March 1, 2021, an investor alleged that…

Read More

Mark Huber (CRD #: 5976354), a broker registered with Concorde Investment Services in Racine, Wisconsin, is involved in two investor disputes, according to his BrokerCheck record, accessed on March 4, 2021. Huber also offers financial advisory services through TADA Wealth Advisors. On December 29, 2020, an investor alleged that Mark Huber engaged in misrepresentation and…

Read More

Mitchell Griffin (CRD #: 3129686), a broker registered with LPL Financial, is facing allegations that he misrepresented an investment, according to his BrokerCheck record, accessed on March 8, 2021.   On December 17, 2020, investors alleged that Mitchell Griffin informed them that a variable product would have a guaranteed return. Variable products have many complexities…

Read More

Greg Hersch (CRD #: 3254629), a broker registered with Old City Securities, is involved in a $1,400,000 dispute, according to his BrokerCheck record, accessed on March 8, 2021. Hersch also offers investment advisory services through Florence Capital. On December 16, 2020, an investor alleged that Greg Hersch engaged in constructive fraud and negligent misrepresentation. These…

Read More

Buzzy Phillips (CRD #: 2592097), a broker registered with Raymond James Financial Services, is involved in a six-figure investor dispute, according to his BrokerCheck record, accessed on March 8, 2021. Details of the dispute allegations are provided below. On December 15, 2020, an investor alleged that Buzzy Phillips misrepresented a managed account. This activity allegedly…

Read More