Lorraine Gallette (CRD #: 6192487), a broker registered with Coastal Equities, is involved in multiple investor disputes, according to her BrokerCheck record, accessed on October 28, 2020. Investors should note the details of the disclosure. On September 1, 2020, clients alleged that between 2016 and 2020, Lorraine Gallette made unsuitable investment recommendations. The clients further…

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Wayne Miller (CRD #: 4813645), a broker registered with Aeon Capital Inc., has multiple pending client disputes, according to his BrokerCheck record, accessed on October 15, 2020. Two of these disputes concern unsuitable private placements. Mr. Miller’s record also has a number of settled client disputes and a regulatory action. On September 25, 2020, a…

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Jorge Sonville (CRD #: 2558540), a broker and an investment adviser registered with Merrill Lynch, Pierce, Fenner & Smith, has a new investor complaint regarding an unsuitable investment recommendation, according to his BrokerCheck record, accessed on October 14, 2020. Unsuitability is one of the most common investor complaints, according to the Financial Industry Regulatory Authority…

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Gage Dahmann (CRD #: 2849989), a broker registered with Fidelity Brokerage Services LLC, is facing a customer dispute involving unsuitable investment recommendations, according to his BrokerCheck record, accessed on September 18, 2020. He is also an investment adviser registered with Fidelity Personal and Workplace Advisors. For more details about Mr. Dahman’s conduct as a broker,…

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Douglas Schmitz (CRD #: 1771132), a broker who is registered with Classic LLC, is facing several customer complaints, according to his BrokerCheck record, accessed on September 18, 2020. Mr. Schmitz is also a registered investment adviser with Classic Asset Management LLC. Investors should keep reading for more detail on Douglas Schmitz’s record as a broker.…

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Kenneth Wise (CRD #: 1492642), a broker and an investment adviser registered with UBS Financial Services Inc., is facing multiple investor complaints, according to his BrokerCheck record, accessed on September 18, 2020. One of the complaints alleges that Mr. Wise allowed a third party to commit elder abuse on one of his clients. Keep reading…

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Jonathan Bever (CRD #: 2603856), a broker registered with Cetera Advisor Networks LLC, is facing allegations of unsuitable investment recommendations, according to his BrokerCheck record, accessed on September 21, 2020. On August 3, 2020, a client alleged that Jonathan Bever made unsuitable investment recommendations. As an investment adviser, Mr. Bever has a fiduciary duty to…

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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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Forrest Jones (CRD#: 4880765), a registered representative and Registered Investment Adviser (RIA) with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) in Conroe, Texas, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 21, 2020. What happened to lead to this dispute? Read on to learn more. …

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