The Goldman Scarlato & Penny investor rights attorney Alan Rosca has launched investigations as to the brokers below, who were recently barred by the securities regulators according to the Disciplinary and Other FINRA Actions reported for July 2018:

Broker Registration History Customer Disputes
Paul Anthony Bustamante Empire Asset Management Company No
Thomas Matthew Dunlap AXA Advisors, LLC Yes
Joshua David Ellis LPL Financial LLC No
James Benjamin Farris Merrill Lynch, Pierce, Fenner & Smith Incorporated Yes
Samuel Lawayne Haddix Ameriprise Financial Services, Inc. Yes
Mark Anthony Hernandez UBS Financial Services Inc. No
Morgan Stanley
Christopher Lee Hibbard Merrill Lynch, Pierce, Fenner & Smith Incorporated Yes
Abed William Lulu Worden Capital Management LLC Yes
Rockwell Global Capital LLC
Laidlaw & Company (UK) Ltd.
Michael Patrick Nanto J.P. Morgan Securities LLC Yes
Mutual of Omaha Investor Services, Inc.
Albert John Papada Horace Mann Investors, Inc. Yes
Zachary Rawson Merrill Lynch, Pierce, Fenner & Smith Incorporated No
Anteneh A Roberts Merrill Lynch, Pierce, Fenner & Smith Incorporated Yes
PNC Investments

The Goldman, Scarlato & Penny law firm represents investors who lose money as a result of investment-related fraud or misconduct. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions, and has helped recover money on behalf of investors.

Investors who believe they lost money as a result of investment-related fraud or misconduct may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at, or through the contact form on this webpage.

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