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Stock broker Shane Gavin Springman of Portage, Michigan was recently discharged from his position with Wells Fargo Advisors after the firm discovered that he had taken loans from two customers in violation of firm policy and securities regulations. One of the customers recently filed a complaint against Springman after he…
Stock broker Timothy John Beall of Eau Claire, Michigan has been suspended by FINRA and sued by a customer in connection with alleged “selling away” that occurred while Beall was employed by National Planning Corporation. The customer, who is seeking $700,000 in damages, also alleges “misrepresentation” and “unsuitable investments.” “Selling away” is the term used to describe…
According to FINRA Brokercheck, financial advisor Sonya D. Camarco (CRD#: 2427529) of Colorado Springs is facing criminal and civil liability for allegedly stealing client funds. The Securities and Exchange Commission alleges that “beginning in approximately 2004 and continuing through at least August 2017, Sonya D. Camarco (‘Camarco’), an investment adviser…
Investor attorney Daniel J. Broxup of Mika Meyers, PLC is interested in talking to customers of stock broker Eric Pica (CRD#: 4829533) of Joseph Stone Capital, LLC in New York, New York. According to FINRA Brokercheck, Mr. Pica is currently involved in four “customer disputes” with customers who variously allege that…