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Tag: Broker Theft

Wolper Law Firm is Investigating Allegations of Misconduct Against Financial Advisor Sean Fields

Sean Fields (CRD#: 6790559) is a registered Broker and Investment Adviser. Broker’s Background Sean Fields entered the securities industry in 2017. He has spent his entire career as a Financial Advisor with PFS Investments, Inc. and a registered Investment Adviser Representative with the affiliated Primerica Advisors. Allegations Of Misconduct The Wolper Law Firm has been […]

Financial Advisor Chinyuan Chang Barred by FINRA For Alleged Theft

Chinyuan Chang (CRD#: 2922898) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1997 and previously worked for Morgan Stanley; Cetera Investment Services, LLC; Primevest Financial Services, Inc.; Sinopac Financial Services (USA) LTD.; PCI*Trade Securities; ASI Investments, Inc.; Milestone Financial Services, Inc.; and Bestrade, Inc. Current […]

Financial Advisor Ernest Frerking Barred by FINRA

Ernest Frerking (CRD#: 2588177) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Former Financial Advisor Bradley Goodbred The Subject of An SEC Enforcement Action For Theft

Bradley Goodbred (CRD#: 3184210) is a previously registered Broker and a previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for LPL Financial, LLC; and Banc One Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Financial Advisor Doug McKelvey Barred by FINRA

Doug McKelvey (CRD#: 4502849) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Financial Advisor Robert Earl Turner (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

Robert Earl Turner (CRD#: 2113736) was previously dually registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1991 and previously worked for Stifel, Nicolaus & Company, Inc; UBS Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Financial Advisor David Kraft (Morgan Stanley) Customer Complaints

David Kraft (CRD#: 2356400) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1993 and previously worked for Morgan Stanley, Wells Fargo Advisors, LLC; Morgan Keegan & Company, Inc.; and UBS Painewebber, Inc.   Allegations Of Conduct Leading To Investment Loss   According to […]

Financial Advisor Kenneth Welsh (Wells Fargo Clearing Services, LLC) Customer Complaints

Kenneth Welsh (CRD#: 4657872) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 2004 and previously worked for Wells Fargo Clearing Services, LLC; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; and Morgan Stanley DW, Inc..   Allegations Of Conduct Leading To Investment […]

Financial Advisor Jeffrey Dampf (PFS Investments, Inc.) Customer Complaints

Jeffrey Dampf (CRD#: 5676205) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2009 and previously worked for PFS Investments, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2021, FINRA sanctioned Jeffrey Dampf, barring him from all capacities indefinitely, […]

Financial Advisor David S. Wells (Fifth Third Securities) Customer Complaints

David S. Wells (CRD#: 6774493) is a previously registered Broker and Investment Advisor. He entered the securities industry in 2017 and previously worked for Fifth Third Securities, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2021, FINRA sanctioned David […]