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Financial advisor Brian Visconti, recently of Tampa, Florida, was recently involved in a legal dispute with a customer who alleged that Visconti made unsuitable investment recommendations. According to FINRA’s Brokercheck website, the customer alleged that Visconti “improperly recommended investing in only a handful of technology sector equities.” The case settled…
In a host of recent arbitration filings, customers of former financial advisor Edward Turley of San Francisco allege that Turley engaged in unauthorized and unsuitable trading in their accounts. There are three pending cases involving damage claims of close to $80 million. Five other cases have been settled for an aggregate amount of $30…
Stock broker Todd Marone of Troy, Michigan is reported to be involved in a legal dispute with a client who alleges that Marone made misrepresentations in connection with the sale of variable annuities. The customer is seeking to recover more than $50,000 in damages. Marone has been registered with JP…
David Austin of Grand Rapids, Michigan recently had his securities agent registration revoked by Michigan’s securities regulator following allegations that he engaged in dishonest or unethical business practices in the banking industry. Specifically, it was alleged that Mr. Austin misappropriated close to $150,000 from the bank affiliated with the broker dealer that…