Former stockbroker Dennis Mehringer is involved in legal disputes with multiple customers who allege that he made unsuitable investment recommendations. The customers, who are seeking an aggregate amount of more than $2 million in damages, also allege breach of fiduciary duty, misrepresentation, fraud, and unauthorized trading. Mehringer has a history of customer…

According to FINRA’s Brokercheck website, Stockbroker Debra Bourne of Red Bank, New Jersey is involved in customer disputes with at least three customers who allegedly suffered more than $3 million in damages as a result of Bourne’s unsuitable investment recommendations. The customers also variously allege unauthorized trading and excessive trading. Bourne…

Former UBS stockbroker Mark Schwartz of Florham Park, New Jersey has two “customer dispute” disclosures on his FINRA Brokercheck profile relating to investments in UBS’ “Yield Enhancement Strategy.” The customers are seeking an aggregate amount of $1.35 million in damages. UBS’ “Yield Enhancement Strategy” was sold to investors as a safe,…

Former stockbroker Adam Lopez has been barred from the securities brokerage industry for failing to cooperate with a regulatory investigation into allegations that he engaged in sales practice violations while registered with the brokerage firm Country Capital Management Company. In the past year, Lopez has also been embroiled in almost a…