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:

BrokerRegistration HistoryCustomer Disputes
Paul Anthony BustamanteEmpire Asset Management CompanyNo
Thomas Matthew DunlapAXA Advisors, LLCYes
Joshua David EllisLPL Financial LLCNo
James Benjamin FarrisMerrill Lynch, Pierce, Fenner & Smith IncorporatedYes
Samuel Lawayne HaddixAmeriprise Financial Services, Inc.Yes
Mark Anthony HernandezUBS Financial Services Inc.No
Morgan Stanley
Christopher Lee HibbardMerrill Lynch, Pierce, Fenner & Smith IncorporatedYes
Abed William LuluWorden Capital Management LLCYes
Rockwell Global Capital LLC
Laidlaw & Company (UK) Ltd.
Michael Patrick NantoJ.P. Morgan Securities LLCYes
Mutual of Omaha Investor Services, Inc.
Albert John PapadaHorace Mann Investors, Inc.Yes
Zachary RawsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedNo
Anteneh A RobertsMerrill Lynch, Pierce, Fenner & Smith IncorporatedYes
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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