Cameron High, formerly with Crown Capital Securities, Sentenced to Three Years Probation Recently, Judge David Nye of the U.S. District Court in Idaho sentenced Cameron High of Idaho Falls, Idaho to three years of probation, plus 300 hours of community service.  High will also be ordered to pay restitution to victims, but that determination will …
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Leonard Marzocco, formerly with First Standard Financial Company and Spartan Capital Securities, Suspended by FINRA Have you lost money with financial advisor Leonard J. Marzocco from Garden City, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Leonard Marzocco. FINRA filed a complaint against Marzocco regarding allegations while …
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Michael Iannorino, formerly with Stifel Nicolaus, Barred by FINRA Have you lost money with financial advisor Michael Iannorino?  We are looking into allegations made about Michael J. Iannorino from Columbus, Ohio.  FINRA (the Financial Industry Regulatory Authority) barred Iannorino from the securities industry.  FINRA alleged that Iannorino has failed to respond to its investigation regarding …
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Gregory Ricker, previously with Westpark Capital, Suspended 6 Months by FINRA Have you lost money with financial advisor Gregory Ricker?  We are looking into allegations made about Gregory A. Ricker from Fort Lauderdale, Florida.  FINRA (the Financial Industry Regulatory Authority) suspended Ricker from the securities industry for 6 months, fined him $5,000, and ordered him …
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Moors & Cabot Fined $250,000 for Disclosure Failures We are currently investigating allegations made against Moors & Cabot, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, alleging that it failed to adequately disclose in writing to firm customers that it earned compensation for about …
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Micah Patterson, previously with MML Investors Services, Suspended by FINRA Have you lost money with financial advisor Micah Patterson?  We are looking into allegations made about Micah W. Patterson from Centerville, Utah.  FINRA (the Financial Industry Regulatory Authority) suspended Patterson from the securities industry for one month and fined him $5,000.  FINRA was investigating Patterson …
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Dain Stokes, formerly with LPL Financial, Barred by SEC Have you lost money with financial advisor Dain Stokes of Bedford, New Hampshire?  We are continuing to look into allegations made against Dain F. Stokes, who was barred from the securities industry by the Securities and Exchange Commission (SEC).  The SEC alleged that this conduct took …
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Ryan Davis, previously with Wells Fargo, Suspended 18 Months by FINRA Have you lost money with financial advisor Ryan Davis?  We are looking into allegations made about Ryan Matthew Davis from Mahwah, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Davis from the securities industry for 18 months and fined him $15,000.  FINRA was …
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Israels & Neuman, PLC Investigates Josh Label, with Vita Intellectus Have you lost money with financial advisor Joshua Label (CRD# 5032599), of Vita Intellectus in Kirkland and Bellevue, Washington?  We are investigating allegations of former customers related to Josh Label. Josh Label’s Investment Advisor Check report, states that Label has been the subject of 15 …
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Jon Lindberg, Formerly with ProEquities, Subject to Montana Securities Complaint Have you lost money with financial advisor Jon Lindberg of Birmingham, Alabama?  We are investigating allegations made by the Montana Securities Commission against Jon P. Lindberg and his firm, First Advisors Capital.  According to the complaint filed against Lindberg, Lindberg advised a client to move …
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