Broker Investigations
Broker Gary Chang Allegedly Misappropriated Customer FundsÂ
Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators According to a press release, Chingyuan “Gary” Chang, a...
Brett Hartvigson Barred from Securities IndustryÂ
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority...
Douglas McKelvey Settles Fraud ChargesÂ
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 ComplaintsÂ
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 FINRAÂ
John Petrone Allegedly Misappropriated Customer Funds According to public records posted on FINRA’s website, broker John Petrone (CRD...
Eric Kubiak Barred by FINRAÂ
Ameriprise Advisor Eric Kubiak Barred after Allegations of Outside Business Activities According to public records on December 14, 2023,...
