Yin Yvonne Zhong (also known as Yvonne Zhong), of Milpitas, California, a stockbroker registered with Ni Advisors, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $15,000.00 in damages based upon allegations that Zhong breached her fiduciary duties, was negligent, and made unsuitable recommendations in GWG Class…

John Gerard Forrester Jr., of Boca Raton, Florida, a stockbroker registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Forrester breached his fiduciary duties, committed fraud, was negligent, and breached contract in connection with…

Rene Javier Castro, of Chicago, Illinois, a stockbroker registered with Great Point Capital LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $175,000.00 in damages based upon allegations that Castro made unsuitable recommendations, was negligent, breached his fiduciary duties, breached a contract, and violated state securities…

Morgan Darby Hill of Knoxville, Tennessee, a stockbroker registered with Center Street Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $60,000.00 in damages based upon allegations that Hill made unsuitable investment recommendations of alternative investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02835…

Jason Edward Seurer of Maple Plain, Minnesota, a stockbroker registered with Landolt Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $100,000.00 in damages based upon allegations that Seurer made unsuitable investment recommendations of GWG L-bonds when Seurer was associated with Landolt Securities Inc. Financial…

Jonathan Eric Ellefson (also known as Jon Ellefson) of Harker Heights, Texas, a stockbroker registered with Intervest International Equities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $373,000.00 in damages based upon allegations that Ellefson breached his fiduciary duties, effected…

Hillard Charles Rest of Newport Beach, California, a stockbroker registered with JRL Capital Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Rest breached his fiduciary duties, made misrepresentations and omissions of material fact, in violation…

David Richard Geake of Chicago, Illinois, a stockbroker registered with American Trust Investment Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $965,793.00 in damages based upon allegations of breach of contract, negligence, fraud, violation of Illinois securities laws, violation of FINRA Rules 2311,…

Marc Frederick Korsch, of Sarasota, Florida, a stockbroker formerly registered with Centaurus Financial Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA’s request for information about his activities. Case No. 2020066487801 (December 27, 2021). FINRA Public Disclosure…