A National Securities Arbitration & Investment Fraud Law Firm
Frank Howard Zito (CRD #2766336) is a former registered broker and investment advisor. He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. He was previously registered with Morgan Keegan & Company, Inc. (CRD #4161) and Amsouth Investment Services, Inc. (CRD #15692),…
Howard Raymond Utz (CRD #2672208) is a former broker whose last registered employer was Hazard & Siegel, Inc. (CRD #2048) of Mars, PA, from 09/24/2015 through 06/01/2018. His previous employers include Securities America, Inc. (CRD #10205) and Sunset Financial Services, Inc. (CRD #3538), both of Mars, PA. No current employment…
Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort Lauderdale, FL. He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. (CRD #705) of Boca Raton,…
If your financial advisor recommends an investment that is not approved by his firm, he may be selling away. Do you trust him or her to make the right investment decisions for you? Do they consult with you and allow you the freedom to review information on your own, and…
The SEC has filed criminal charges against former broker Steven Pagartanis (CRD #1958879). These charges involve defrauding his long-time customers into investing in his own company, a security that was not sold by his firm. He promised his customers that the funds would give them guarantee interest payments. Pagartanis was,…
Samuel Haddix (CRD #4427350) is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Samuel Haddix…
David Olson (CRD #1700644) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Olson consented to the sanction and to the entry of findings that he refused to provide complete documents and information requested by FINRA during an investigation into allegations that…
We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter D. Holler. FINRA suspended Holler from the securities industry for two years, fined him $10,000, and ordered him to disgorge $49,790 in commissions for selling Woodbridge Investments. FINRA was investigating Holler regarding allegations that he engaged…
Matthew Evan Eckstein (CRD #2997245) was a registered broker with Sisk Investment Services, Inc. (CRD #19406) of Syossett, NY. He has been with Sisk since 2015. Eckstein was previously employed by Gould, Ambroson & Associates Ltd. (CRD #17412) of Garden City, NY. Our New York securities arbitration lawyers are representing…
Silver Law Group is currently investigating Cleveland, Ohio based broker Joseph Daniel Krueger II regarding complaints pertaining to engaging in outside securities transactions by issuing and selling away promissory notes in the amount of $200,000 with his prior brokerage firm’s clients without notifying his prior brokerage firm. Based on FINRA’s…