Broker Investigations
Brett Hartvigson Barred from Securities Industry
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority...
Douglas McKelvey Settles Fraud Charges
Douglas McKelvey Allegedly Stole $1.7 Million from Elderly Customers A settlement was reportedly reached on January 24, 2024, in the case...
David Arlein, Cabot Lodge Securities, 22 Customer Complaints
David Arlein Allegedly Misrepresented GWG L Bonds to Investors According to public records posted on FINRA’s website, broker David...
John Petrone, Farmers Financial, Barred by FINRA
John Petrone Allegedly Misappropriated Customer Funds According to public records posted on FINRA’s website, broker John Petrone (CRD...
Eric Kubiak Barred by FINRA
Ameriprise Advisor Eric Kubiak Barred after Allegations of Outside Business Activities According to public records on December 14, 2023,...
Ex-Sagepoint Broker Thomas Corsaro Sentenced to Prison
Thomas Corsaro Pleads Guilty to Defrauding Investors of $1.7 Million According to reports on December 8, 2023, former financial...
