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Timothy Millis: Ex-NYLife Rep Resigns Over Alleged Unsuitable Mutual Fund...

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy...

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Christopher Vining, Morgan Stanley Rep, Involved in Pending Investor Dispute

Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his...

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Jeffrey Weiner, Pruco Registered Rep, Involved in Two Investor Disputes Over...

Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his...

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Roderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement...

Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his...

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Daniel Lauletta Investor Alleges Deceptive Sales Tactics in $1,000,000 Dispute

Daniel Lauletta (CRD #: 2659123), a broker registered with MML Investors Services, is facing investor allegations that he utilized deceptive sales tactics, according to his BrokerCheck record,...

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Dennis Karjanis Involved in 3rd Investor Allegation of Unsuitable Investment...

Dennis Karjanis (CRD #: 5280862), a broker registered with National Securities Corporation, has multiple pending investor disputes, according to his BrokerCheck record, accessed on January 8, 2021....

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Aaron Turner: Investor Alleged Unsuitable Energy Security Recommendation

Aaron Turner (CRD #: 2252485), a broker registered with Ameriprise in Batavia, Illinois, is involved in a dispute regarding energy investments, according to his BrokerCheck record, accessed on January...

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Christopher Carolan Involved in Allegations of Unauthorized Trading

Christopher Carolan (CRD #: 4402629), a broker registered with Kingswood Capital Partners in San Diego, California, is involved in a dispute regarding unauthorized trading, according to his...

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David Park of Cambridge Investment is Facing Allegations Following Risky...

David Park (CRD #: 4388516), a broker registered with Cambridge Investment Research in La Canada, California, is involved in an investor dispute, according to his BrokerCheck record, accessed on March...

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Bill Burks Embroiled in Allegations of Misrepresentation

Bill Burks (CRD #: 2944992), a broker registered with Centaurus Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on May 10, 2021. On February 18, 2021, an...

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