Merrill Lynch Advisor Peter Eckerline Racks Up Complaints

By all accounts, Peter Eckerline, a lifelong Merrill Lynch broker, Wayzata, Minnesota-based spent the entire duration of his 37 years in the industry with the firm, until August 2021. He is neither an investment advisor nor a registered broker at present. His BrokerCheck record lists 9 customer disputes filed by claimants over the past 20 …

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source https://financialadvisorcomplaints.com/peter-eckerline/

SEC Actions Against Pagartanis, Global Trading Institute, TCFG Investment Advisors, Brent Borland

The SEC filed four civil injunctive proceedings last week and no administrative proceedings. This excludes tag-along or similar proceedings. Offering fraud. SEC v. Pagartanis. Civil Action No. 25242, which was filed on October 7, 2021, is an earlier action that names Steven Pagartanis as the defendant. Defendant was an investment professional and sold investments to the public …

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source https://financialadvisorcomplaints.com/556-2/

Naseem Salamah Targeted Elderly Clients For Fraud

Injunctive relief, disgorgement, prejudgment interest, and civil penalties have been sought by the Securities Exchange Commission (SEC) in their complaint charging (now former) investment advisor Naseem Salamah with the violation of several federal securities laws. Naseem Salamah Fraud Allegation The action arises from allegations of Salamah having stolen over $968,600 from three elderly clients through …

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source https://financialadvisorcomplaints.com/naseem-salamah-targeted-elderly-clients-for-fraud/