Shawn Burke Involved in Dispute Regarding Alleged Mismanagement of Unit Investment Trusts (UITs)

Shawn Burke (CRD #: 2615449), a broker registered with Morgan Stanley, is involved in an investor dispute regarding Unit Investment Trusts (UITs), according to his BrokerCheck record, accessed on May 25, 2021. This is Burke’s third investor dispute. On April 7, 2021, an investor alleged that Shawn Burke over-weighted UITs, meaning that he allegedly represented…

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Charles Blatz Facing $1.5 Million Investor Dispute

Charles Blatz (CRD #: 706158), a broker registered with Benjamin F. Edwards & Company, in Red Bank, New Jersey, is involved in investor allegations of a $1.5 million loss, according to his BrokerCheck record, accessed on May 27, 2021. On April 1, 2021, an investor alleged that Charles Blatz recommended an unsuitable trading strategy. “Suitability”…

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Paul Spero Fined and Suspended by FINRA

Paul Spero (CRD #: 1637713), a broker registered with Cadaret, Grant & Co., consented to a FINRA fine and suspension, according to his BrokerCheck record, accessed on May 14, 2021. On April 26, 2021, Paul Spero entered into an Acceptance, Waiver, and Consent agreement (AWC) agreement with FINRA in which he consented to the findings…

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Steve Baaden Racks Up 7th Investor Dispute

Steve Baaden (CRD #: 1266766), a broker registered with Oppenheimer & Co., is involved in a dispute regarding unsuitable recommendations, according to his BrokerCheck record, accessed on March 30, 2021. This is not his first investor dispute. On February 3, 2021, an investor alleged that Steve Baaden recommended unsuitable investments and engaged in fraud. The…

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Yann Faho of Aegis Capital is Facing Two Investor Disputes

Yann Faho (CRD #: 5397543), a broker registered with Aegis Capital Corp, is involved in two investor disputes, according to his BrokerCheck record, accessed on March 30, 2021. On January 27, 2021, an investor alleged that their securities had suffered from poor performance. The investor is seeking $180,000; the dispute is pending. On August 7,…

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Sam Head Involved in Dispute Regarding Unsuitable Investment Recommendations

Sam Head (CRD #: 2456312) of South Carolina has a new investor complaint regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on October 27, 2020. Mr. Head is a broker and an investment adviser registered with Ameriprise Financial Services in South Carolina. In addition to this most recent investor complaint, there are several…

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Alan Appelbaum, Boca Raton Broker, Involved in $1.8 Million Customer Dispute Over Unsuitable Investment Recommendations

Alan Appelbaum (CRD#: 500336), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Boca Raton, Florida, is currently involved in multiple pending customer disputes, mainly over unsuitable investment recommendations, according to his BrokerCheck record accessed on October 25, 2019. Throughout his 43-year career in the securities industry, Alan Appelbaum has a dozen disclosures, including…

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FINRA Suspends J.W. Cole Financial Broker Jeff Vasiloff for Exercising Discretion without Authorization

A registered representative with J.W. Cole Financial, Inc. of Vermillion, Ohio, Jeff Vasiloff (CRD#: 3180004) has been suspended by the Financial Industry Regulatory Authority (FINRA) for exercising discretion in brokerage accounts, according to his BrokerCheck report accessed on September 17, 2019. On September 6, 2019, Jeff Vasiloff entered into an Acceptance, Waiver, and Consent (AWC)…

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