Carlos Legaspy: Did His Negligence Lead to a $1.5 Million Losses?

Carlos Legaspy (CRD #: 2148751), a broker registered with Insight Securities, is facing allegations that he failed to perform his due diligence, according to his BrokerCheck record, accessed on June 1, 2021. This is Legaspy’s third investor dispute – you can read more about his conduct as a broker below. On March 21, 2021, investors…

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Jon Cirelli is Involved in a $2.5-Million Investor Dispute

Jon Cirelli (CRD #: 4729737), a broker registered with Concorde Investment Services, is facing allegations of negligence relating to limited partnership investments. This is according to his BrokerCheck record, accessed on May 4, 2021. On March 9, 2021, an investor alleged that Jon Cirelli engaged in negligence and made unsuitable recommendations from July 2015 to…

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Eric Willer: Subject of FINRA Investigation Regarding Scuderi Holyoke Bonds

Eric Willer (CRD #: 2263899), a broker registered with Kestra Investment Services in Irving, Texas, is the subject of a FINRA investigation into his recommendations of Scuderi-Holyoke bonds, according to his BrokerCheck record, accessed on April 21, 2021. On March 31, 2021, FINRA made a preliminary determination to recommend disciplinary action be brought against Eric…

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David Khezri Involved in Two Six-Figure Disputes

David Khezri (CRD #: 2736831), a broker registered with Network 1 Financial Securities, is involved in a new investor dispute, according to his BrokerCheck record, accessed on April 27, 2021. On March 15, 2021, an investor alleged that David Khezri executed excessive trades for the sake of commissions. The investor further alleged that Khezri engaged…

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Curvin Miller Facing Allegations of Negligent Misrepresentation

Curvin Miller (CRD #: 5106137), a broker registered with Kalos Capital, is involved in an investor dispute, according to his BrokerCheck record, accessed on April 16, 2021. This is not the only dispute on his record. On April 9, 2021, an investor alleged that Miller engaged in negligent misrepresentation. The investor is seeking $464,050; the…

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John Dalby: Investor Alleges a $5,000,000 Loss

John Dalby (CRD #: 6108863), a broker registered with Hennion & Walsh in Parsippany, New Jersey, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 29, 2021. On February 17, 2021, an investor alleged that John Dalby engaged in fraud and negligence. They further alleged that he breached his fiduciary…

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Mark Barrand Embroiled in Investor Disputes Regarding the Business Development Corporation of America

Mark Barrand (CRD #: 4586528), a broker registered with Ameriprise Financial Services, is facing multiple pending investor disputes, according to his BrokerCheck record, accessed on March 29, 2021. Two of these disputes mention Business Development Corporation of America investments. Allegations Involving Business Development Corporation of America On February 9, 2021, an investor alleged Mark Barrand…

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Daniel Mittag Involved in Investor Dispute Regarding Unsuitable Investments

Daniel Mittag (CRD #: 822636), a broker registered with Oppenheimer & Co., is facing investor allegations that he recommended unsuitable investments, according to his BrokerCheck record, accessed on March 30, 2021. There are two other investor disputes on his record – keep reading for more details. On February 8, 2021, an investor alleged that Daniel…

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Robert Stanlick is Facing Investor Allegations of a $110,000 Loss

Robert Stanlick (CRD #: 2411358), a broker registered with Geneos Wealth Management, is embroiled in two investor disputes, according to his BrokerCheck record, accessed on March 30, 2021. Stanlick also offers advisory services through Rocky Mountain Wealth Partners. On March 8, 2021, an investor alleged that Robert Stanlick breached his fiduciary duty and engaged in…

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Christopher Passero Involved in Dispute Regarding GPB Capital Shares

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…

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