Marcus E. Boggs is a previously registered broker and investment advisor who worked for Merrill Lynch for 12 years before being discharged after allegations in 2018. Mr. Boggs has 13 different disputes on his BrokerCheck profile.
In November 2018, a client alleged that there were unauthorized transfers made to an American Express account from the customer’s investment account. This settled for $1,005,169.59 in damages. Boggs was separated from Merrill Lynch after this dispute.
Investment Loss Claims Regarding James Michael Amour of Ausdal Financial Partners and the Bakken Drilling Funds
James Michael Amour is a FINRA regulated broker and an investment advisor with 41 years of experience spanning eight firms. Mr. Amour has three disclosures against him according to his BrokerCheck profile.
Clifford Paul Huffman and Peter Huffman are FINRA registered brokers with over 50 years of experience between them. Both Clifford and Peter are currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Peter Huffman has 12 years of experience, all with Merrill Lynch, meanwhile Clifford has 47 years of experience working at different branches of Merrill Lynch. Clifford also is a registered investment advisor with the company.
Brokers Thomas Joseph Logue, Bradley Carl Mascho, Clifford Ronald Reid, and John Joseph Koorey are the subject of numerous client complaints involving their mishandling of customer portfolios.
Below are the details for each broker.
Broker Jeremy Seth Rosen Accused of Unsuitable Investments for Customers While at Berthel, Fisher & Company Financial Services
Former customers of Jeremy Seth Rosen have accused the previously registered broker and investment adviser of making unsuitable investments, according to Financial Industry Regulatory Authority’s (FINRA) BrokerCheck. Rosen’s record contains disclosures of three pending and seven final customer disputes related to his time as a broker with Berthel, Fisher & Company (BFC) Planning, Inc.
Financial Industry Regulatory Authority’s (FINRA) BrokerCheck reports that FINRA has barred previously registered broker and investment advisor Jaime Michael Westenbarger from acting as a broker or otherwise associating with a broker-dealer firm. The barring follows two regulatory actions and several customer disputes against the broker, culminating in his being terminated.
From the beginning of 2020 to mid-March 2021, the following Tortoise Energy Funds have suffered substantial losses, ranging from nearly 50% to as much as 75%.
Investment Loss Allegations Against Ronald Franklin Metcalf Jr., Registered Broker and Investment Adviser in Greenville SC
Registered broker and investment adviser Ronald Franklin Metcalf Jr. has been the subject of five customer disputes related to his work for Voya Financial Advisors, according to Financial Industry Regulatory Authority’s (FINRA) BrokerCheck. Mr. Metcalf has also been an agent for Reliastar and owns Metcalf and Associates, inc. in Greenville, South Carolina.
Former Morgan Stanley Broker Michael Barry Carter Accused of Misappropriating $6 Million of Clients’ Funds
Michael Barry Carter, a broker previously registered with Morgan Stanley and Ameriprise Financial Services, and several other firms, has been the subject of three regulatory proceedings, five customer complaints, and one termination, according to Financial Industry Regulatory Authority’s (FINRA) BrokerCheck.
Regulatory Events Involving Michael Barry Carter
BrokerCheck reports that on three occasions, Carter has been subject to regulatory actions.
On February 18, 2021 a Financial Industry Regulatory Authority (FINRA) Extended Hearing Panel issued a Decision sanctioning Ricky Alan Mantei suspending him from associating with any FINRA Member firm in any capacity and fining him. The decision relates to violation of his former firm (JP Turner & Co’s) policies and involves the sale of structured certificates of deposits. Mantei has reportedly appealed this decision.