Matthew Crafa Allegedly Breaches Contract

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Matthew Crafa is a New York based securities broker. He has worked in the securities industry for twenty years. During his career, he has been registered with seven different securities firms. His registrations included; Royce Investment Group (1998-1999), Dean Witter Reynolds (1999-2001), Prudential Securities Incorporated (2001-2002), Quick & Reilly (2002-2004), Ladenburg, Thalmann & Co. (2004-2005), Oppenheimer & Co. (2005-2007), and Royal Alliance Associates (2007-Present). Matthew Crafa’s publicly available FINRA BrokerCheck report shows that he is currently the subject of a pending customer complaint. The customer in this case alleged that Matthew Crafa breached contract, breached his fiduciary duty, and handled…

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Craig Siegel Allegedly Churned His Customers’ Accounts

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Craig Siegel was a New York based securities broker. He worked in the securities industry for eight years. During his career, he was registered with just two different securities firms. They were John Thomas Financial (2010-2013) and Portfolio Advisors Alliance (2013-2018). He is not currently working as a registered securities broker in any fashion. Craig Siegel’s publicly available FINRA BrokerCheck report shows that he received multiple customer complaints over the course of his career. In February 2016, a customer alleged that Craig Siegel churned their account, recommended unsuitable securities, breached his fiduciary duty, engaged in federal securities fraud, executed unauthorized…

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Veronica Lopez Allegedly Recommends Unsuitable Securities

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Veronica Lopez was a Florida based securities broker. She worked in the securities industry for six years. During her career, she was registered with four different securities firms. Her registrations included; Chase Investment Services (2010-2012), J.P. Morgan Securities (2012-2014), Morgan Stanley (2014-2015), and Wells Fargo Advisors (2016). She is no longer working as a registered securities broker in any fashion. Veronica Lopez’ publicly available FINRA BrokerCheck report shows that she received a customer complaint in February 2017. The customer in this case alleged that Lopez’ investment recommendations were highly unsuitable. Oakes & Fosher dedicates its entire legal practice to helping…

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Caeron McClintock Allegedly Churns His Churns His Customers’ Accounts

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Caeron McClintock was a New York based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with nine different securities firms. His registrations included; Ladenburg Capital Management (1999-2004), Joseph Stevens & Company (2004-2008), Fordham Financial Magement (2008), J.P. Turner & Company (2008-2011), Brookstone Securities (2011-2012), Legend Securities (2012-2013, 2015-2016), E.J. Sterling (2013-2015), Rothschild Lieberman (2015), and Spartan Capital Securities (2016). He is no longer working as a registered securities broker in any fashion. Caeron McClintock’s publicly available FINRA BrokerCheck report shows that he received multiple customer complaints over the course of his…

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Robert Leis Allegedly Exercises Discretion Without The Proper Authorization

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Robert Leis was a Kentucky based securities broker. He worked in the securities industry for twenty-three years. During his career, he was registered with five different securities firms. His registrations included; J.C. Bradford & Co. (1993-2000), Raymond James Financial Services (2000-2001, 2008-2017), Fifth Third Securities (2001-2006), Morgan Keegan & Company (2006), and J.J.B. Hilliard, W.L. Lyons (2017). He is no longer working as a registered securities broker in any fashion. Robert Leis’ publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in November 2017. The findings state that he exercised discretion in the accounts of seventeen customers…

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Daniel Joe Wilson Allegedly Converts Customer Funds

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Daniel Joe Wilson was an Iowa based securities broker. He worked in the securities industry for thirty-five years. During his career, he was registered with just two different securities firms. They were Robert W. Baird & Co. (1988-1991, 1997-2002) and Northwestern Mutual Investment Services (1982-2018). He is no longer working as a registered securities broker in any fashion. Daniel Joe Wilson’s publicly available FINRA BrokerCheck report shows that he received a customer complaint in October 2013. The customer in this case alleged intentional interference, negligent misappropriation, and fund conversion. This case was settled for $411,000 in damages. Oakes & Fosher…

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Jeffrey Slothower Accused Of Unauthorized Trading And Theft

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Jeffrey Slothower was a New York based securities broker. He worked in the securities industry for fourteen years. During his career, he was registered with seven different securities firms. His registrations included; First New York Securities (2008), Spear, Leeds & Kellogg Specialists (2001-2008), Goldman Sachs Execution & Clearing (2002-2008), Assent (2008), Northwestern Mutual Investment Services (2008-2010), Merrill Lynch (2010-2016), and Private Client Services (2016). He is no longer working as a registered securities broker in any fashion. Jeffrey Slothower’s publicly available FINRA BrokerCheck report shows that he received a customer complaint in June 2018. The customer alleged unauthorized trading, theft/forgery,…

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Brad Lawing Allegedly Recommends Unsuitable Securities

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Brad Lawing was a Missouri based securities broker. He worked in the securities industry for eleven years. During his career, he was registered with three different securities firms. His registrations included; The O.N. Equity Sales Company (2005-2006, 2007-2010), Merrill Lynch (2006-2007), and Cambridge Investment Research (2010-2017). He is no longer working as a registered securities broker in any fashion. Brad Lawing’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In September 2015, customers alleged that Brad Lawing executed an unauthorized sale of mutual funds. In September 2016, a customer…

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Joshua Bradley Allegedly Executed Trades With A Firm He Was No Longer Associated With

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Joshua Bradley was a South Carolina based securities broker. He worked in the securities industry for nine years. During his career, he was registered with five different securities firms. His registrations included; Edward Jones (2006), First Allied Securities (2007-2008), Gunnallen Financial (2008), Voya Financial Advisors (2008-2015), and Merrill Lynch (2015-2016). He is no longer working as a registered securities broker in any fashion. Joshua Bradley’s publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in November 2017. The findings in this matter state that he placed eight trades in five customer accounts at a securities firm that…

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Mickey Long Allegedly Breaches His Fiduciary Duty

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Mickey Long is a Texas based securities broker. He has worked in the securities industry for thirty years. During his career, he has been registered with six different securities firms. His registrations include; Baraban Securities (1987-1990), Dominion Capital Corporation (1991-1998), Nothstar Securities (1998-2001), Rushmore Securities Corporation (2001-2002), VSR Financial Services (2002-2016), and Calton & Associates (2016-Present). Mickey Long’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In July 1999, customers alleged that Mickey Long purchased investments that were unsuitable for them. This case was settled for $63,000 in damages….

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