Michael Barry Carter, a broker previously registered with Morgan Stanley and Ameriprise Financial Services, and several other firms, has been the subject of three regulatory proceedings, five…

On February 18, 2021 a Financial Industry Regulatory…

Many investors have suffered substantial losses after investing in NorthStar Healthcare Income Real Estate Income Trust (REIT) at the unsuitable recommendation of broker dealers.

The…

The Financial Industry Regulatory Authority as well as the U.S. Securities and Exchange Commission have barred Bradley Carl Mascho from acting as a broker or investment advisor. Macho also cannot…

The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary complaint against former registered broker Kishan Parikh, also known as Sean Parikh. FINRA’s complaint alleges that…

From the beginning of 2020 to mid-March 2021, the following Tortoise Energy Funds have suffered substantial losses, ranging from nearly 50% to as much as 75%.

1. Tortoise Energy…

Two brokers and investment advisers formerly employed by National Securities Corporation in Boca Raton, have been the subject to numerous customer disputes, some of which remain pending, others of…

Levin Papantonio Rafferty is investigating potential customer claims involving the broker Megurditch "Mike” Patatian, formerly employed by Western International Securities.

The Financial…

Broker and investment adviser Jenna Kang, formerly with AXA Advisors, LLC has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as…

Murray Todd Peterson is a previously registered broker and investment adviser whose 35-year career included 11 customer disputes, one termination, and 5 judgments/liens, according to…