Jeff Leach (CRD #: 3231849), a broker registered with Morgan Stanley, is facing multiple investor disputes, according to his BrokerCheck record, accessed on April 5, 2021. Jeff Leach also offers financial advisory services through The Leach Group. On January 28, 2021, an investor alleged that Jeff Leach misrepresented certain alternative investments. Alternative investments are inherently…

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Michael Androulakis (CRD #: 2793638), a broker registered with Alexander Capital, is involved in allegations of negligence, according to his BrokerCheck record, accessed on April 6, 2021. There are five other disclosures on his record – keep reading for more information regarding Androulakis’s conduct as a broker. On January 25, 2021, an investor alleged that…

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David Huisinga (CRD #: 4499347), a broker registered with LPL Financial, is involved in a six-figure dispute, according to his BrokerCheck record, accessed on April 6, 2021. Huisinga also offers financial advisory services through Huntington Beach Team and Trilogy Financial. On January 20, 2021, an investor alleged that David Huisinga recommended unsuitable alternative investments as…

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Peter Steege (CRD #: 1060713), a broker registered with Western International Securities, is involved in four pending disputes regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on April 6, 2021. He has an unusually high number of disclosures – so far, he has racked up 21. Only a small percentage of brokers have…

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Willard Pugh (CRD #: 1757428), a broker registered with National Securities Corporation, is facing three investor disputes, according to his BrokerCheck record, accessed on April 7, 2021. All three of the disputes involve allegations of unsuitability. What Does Unsuitability Mean? “Suitability” refers to the FINRA requirement that brokers only recommend investments that fit their investors’…

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Kirk Knollman (CRD #: 2089445), a formerly registered broker and investment adviser, has been fired from Cetera Advisor Networks, according to his BrokerCheck record, accessed on March 29, 2021. Details of the employer’s allegations are provided below. On February 16, 2021, Cetera Advisor Networks fired Kirk Knollman following allegations that he violated the firm’s policies…

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Rick Davidson (CRD #: 1315998), a broker registered with Aegis Capital Corp., is involved in a third investor dispute regarding misrepresentation, according to his BrokerCheck record, accessed on March 29, 2021. This is Davidson’s 11th disclosure, which is an especially high number. On February 26, 2021, an investor alleged that Rick Davidson misrepresented certain investments…

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Patricia Gleason (CRD #: 2811669), a broker registered with Cetera Advisors, is facing her fourth investor dispute, according to her BrokerCheck record, accessed on March 29, 2021. Gleason also offers advisory services through Sunrise Wealth Advisors. On February 12, 2021, investors alleged that Patricia Gleason recommended unsuitable alternative investments. The investors are seeking $500,000; the…

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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…

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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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