Tony Esses (CRD#: 4643285), a registered representative with Wells Fargo Clearing Services LLC (CRD#: 19616), is currently involved in a customer dispute in which a customer is alleging that he misappropriated more than $2 million from their account, according to his BrokerCheck record accessed on July 14, 2020. What led to this dispute? Read on…

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Matthew Lawson (CRD#: 2869619), a registered representative with Cadaret, Grant & Co., Inc. (CRD#: 10641) in Chattanooga, Tennessee, has been sanctioned by the Tennessee Securities Division. This comes after he was discharged from Raymond James Financial Services, Inc. (CRD#: 6694) for engaging in undisclosed outside business activities, according to his BrokerCheck record accessed on June…

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Frank Avallone (CRD#: 4814368), a registered representative with National Securities Corporation (CRD#: 7569) in South Norwalk, Connecticut, is currently involved in two pending customer disputes over suitability, according to his BrokerCheck record accessed on May 7, 2020.  Read on to learn more. On November 7, 2019, a customer alleged that Frank Avallone recommended unsuitable investments.…

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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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Kevin Nevin (CRD#: 2460059), a registered representative with Dempsey Lord Smith LLC (CRD#: 141238) in Edina, Minnesota, is currently involved in one pending dispute over suitability, according to his BrokerCheck record accessed on April 22, 2020.  On March 30, 2020, a customer filed a complaint against Kevin Nevin, alleging that he made unsuitable investments. The…

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Eric Bachinsky (CRD#: 1002854), a registered representative with Raymond James & Associates, Inc. (CRD#: 705) in Palm Beach Gardens, Florida, is currently involved in a pending dispute over suitability in which a client is seeking over $200,000 in damages, according to his BrokerCheck record accessed on April 23, 2020. How did this dispute come about?…

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Michael Hood (CRD#: 1809589), a registered representative with Morgan Stanley (CRD#: 149777) in Greenwood Village, Colorado, is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, clients filed a customer complaint in which they allege, among other things, that Michael…

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Carlos Seda (CRD#: 4228841), a former registered representative with Kovack Securities Inc., is currently involved in two pending customer disputes in which former clients are seeking $375,000 million in damages, according to his BrokerCheck record accessed on March 3, 2020. On November 26, 2018, a client filed a customer complaint against Carlos Seda, alleging that…

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Scot Fairchild CRD#: 2323211), a registered representative with Lucia Securities, LLC (CRD#: 37179) in Henderson, Nevada, is currently involved in a customer dispute in which clients allege that Scot Fairchild placed them in unsuitable, high-risk, illiquid investments, according to Scot Fairchild’s BrokerCheck record accessed on February 28, 2020. What allegedly happened to lead to this…

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