Jeffrey Lance Offen (CRD #2893980) is a former registered broker whose last employer was Craft Capital Management LLC (CRD #171350) of Garden City, NY. His previous employers include Salomon Whitney Financial (CRD #145012) of Farmingdale, NY, Network 1 Financial Securities Inc. (CRD #13577) of Syosett, NY, and Laidlaw & Company…
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Justin Lopez Subject of Two Customer Disputes totaling over $5M
Justin William Lopez (CRD #5162263) is a currently registered broker employed with J.P. Morgan Securities LLC (CRD #79) of Mineola, NY. His previous employers are Craig Scott Capital, LLC (CRD #155924, expelled by FINRA on 9/7/2017), Brookstone Securities, Inc. (CRD #13366, expelled by FINRA on 10/9/2012), both of Uniondale, NY,…
FINRA Bars Broker Mitchell Kurtz For Violations Including Selling Away
Mitchell Alan Kurtz (CRD #2437746) is a former registered broker and investment advisor whose last employer was Henley & Company LLC (CRD #131453) of Roslyn Heights, NY. His previous employers are Raymond James Financial Services, Inc. (CRD #6694), also of Roslyn Heights, and Advest, Inc. (CRD #10) of Hartford, CT.…
Silver Law Group Files FINRA Arbitration Claim Against Arete Wealth Management
Silver Law Group filed a claim against Arete Wealth Management, LLC alleging Arete’s broker recommended numerous unsuitable non-traded REITs and leveraged ETNs and ETFs to our elderly client. According to the FINRA arbitration complaint, the elderly Claimant entrusted the entirety of her retirement portfolio to Arete Wealth Management and its…
Broker Donna Hines Subject Of Four Disclosures
Donna Jean Hines (CRD #4275542, aka “Donna Jean Atchison” or “Donna J. Hines”) is a registered broker and investment advisor who is currently employed with Cetera Advisors LLC (CRD #10299) of Weston, WV. Her previous employers include Investment Planners, Inc. (CRD #18557), also of Weston, WV, Sammons Securities Company, LLC…
FINRA Bars LPL Broker Suhail Khan After $775K Dispute
Suhail Saleem Khan (CRD #3168241) is a former registered broker and investment advisor who was last employed with LPL Financial LLC (CRD #6413) of Chicago, IL. His previous employers include Vision (CRD #47927) and U.S. Financial Investments, Inc. (CRD #120804), also of Chicago. No current employment information is available. He…
Peter Malis Client Awarded $1.1M Settlement After Churning Allegations
Peter Michael Malis (CRD #317892) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Woodland Hills, CA. His previous employers include Prudential Securities Incorporated (CRD #7471) of New York, NY, Bache Halsey Stuart Inc. (CRD #7238) and Paine, Webber, Jackson &…
Broker Bryon Martinsen Accused Of Misrepresentation By Client
Bryon Edwin Martinsen (CRD #1621649) is a registered broker and investment advisor currently employed with Centaurus Financial, Inc. (CRD #30833) of Northport, NY. His previous employers are AXA Advisors, LLC (CRD #6627) and The Equitable Life Assurance Society Of The United States (CRD #4039), both of New York, NY. He…
Broker Michael Morrissett Subject Of $2M Client Dispute
Michael Turner Morrissett (CRD #1456789) is a registered broker and investment advisor who is currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Roanoke, VA. His previous employers are First Union Brokerage Services, Inc. (CRD #8112) of Charlotte, NC and Dominion Investment Banking, Inc. (CRD #17523) He has…
Michael Venturino Customer Disputes Total $1.6M
Michael Christopher Venturino (CRD #5872439) is a registered broker currently employed with Spartan Capital Securities, LLC (CRD #146251) of Garden City, NY. His previous employers include Trident Partners Ltd. (CRD #41258) of Woodbury, NY and Aegis Capital Corp. (CRD #15007) of Melville, NY. Two other prior employers, Craig Scott Capital,…