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 rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.