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 September 2018:

BrokerRegistration HistoryCustomer Disputes
Vicente DavilaMorgan StanleyYes
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Ramon Arturo HerreraWells Fargo Clearing Services, LLCYes
Felipe De Jesus U MuniveAllstate Financial Services, LLCNo
Gordon Beecher NitkaMML Investors Services, LLCNo
George James OldoerpH. Beck, Inc.Yes

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.

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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