Douglas Stopkey (CRD #: 2209717), a broker and investment adviser registered with Davenport & Company, has been suspended by FINRA, according to his BrokerCheck record, accessed on November 23, 2020. This isn’t the only disclosure on his record, nor is it the only allegation from a regulator. On October 26, 2020, Douglas Stopkey entered into…

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Randall Minas (CRD #: 821449), a broker registered with Stifel, Nicolaus & Company, is involved in a client dispute that alleges Mr. Minas violated antifraud laws, according to his BrokerCheck record, accessed on October 28, 2020. This is only the latest in a long string of disclosures that investors should review. On September 4, 2020,…

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Rafe Klein (CRD #: 2865823), a Connecticut broker registered with David Lerner Associates, is involved in a client dispute regarding misrepresentation and omission, according to his BrokerCheck record, accessed on October 28, 2020. This is the second investor dispute on Mr. Klein’s record. On August 31, 2020, a client alleged that Rafe Klein misrepresented certain…

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Greg Williams (CRD #: 1561089) , a Colorado broker registered with Forta Financial Group, has multiple pending investor disputes, according to his BrokerCheck record, accessed on October 27, 2020. If you have questions about Mr. Williams’ conduct as a broker, keep reading. On September 9, 2009, clients alleged that Greg Williams breached his fiduciary duty…

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Matthew Platnico (CRD #: 2102086) is facing another investor complaint, this time regarding unauthorized options trading, according to his Broker Check record, accessed on September 23, 2020. Mr. Platnico is a broker registered with Allied Millennial Partners LLC and an investment adviser registered with Millennial Advisers, LLC. On July 15, 2020, a client alleged that…

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James Lacey (CRD #: 3087081), a broker registered with Morgan Stanley, is the subject of client allegations regarding unauthorized trades, according to his BrokerCheck record, accessed on September 18, 2020. There are several other settled customer complaints that investors should note. On August 4, 2020, a client alleged that James Lacey executed unauthorized trades. The…

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Jeffrey Olson (CRD #: 2192677), a broker and investment adviser registered with Northland Securities, Inc., is the subject of pending customer disputes, according to his BrokerCheck record, accessed on September 16, 2020. Multiple customers have alleged that he has violated state securities acts. He also has had a tax lien and several more settled customer…

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Lee Nordstrom (CRD #: 2248261), a broker from LPL Financial LLC, is the subject of a FINRA investigation, according to his BrokerCheck record, accessed on September 17, 2020. This is not the only disclosure on Lee Nordstrom’s record. On August 11, 2020, FINRA initiated an investigation into Lee Nordstrom. The description of the investigation alleges…

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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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