Broker Investigations
Julie Darrah Allegedly Defrauded Elderly Advisory Clients
Financial Advisor Julie Darrah Charged with Embezzlement – Updated Julie Darrah, a Santa Maria-area investment advisor, has...
New Jersey Advisor John Boston Charged with Fraud Scheme
John Boston Allegedly Embezzled from 90-Year-Old Woman According to numerous reports, a grand jury has indicted New Jersey financial...
James Pelletiere, Pruco Securities Advisor, Barred by FINRA
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority...
Todd Lesk Barred after Selling Away Allegations
FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales According to public documents, the Financial Industry Regulatory...
Dallas Broker Les Jackson Barred by FINRA
Dallas Broker Les Jackson Barred after Allegations of Selling Away According to a letter of acceptance, FINRA, the broker regulator,...
Ron Filoramo Allegedly Defrauded Customers
Morgan Stanley Broker Ron Filoramo Reportedly Fired with 4 Complaints Pending According to a Letter of Acceptance, FINRA, the broker...
