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attorney form.”.
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect BART BOHRER, OF CALTON & ASSOCIATES, INVOLVED IN THREE Bart Bohrer (CRD#: 4315654), a registered representative with Calton & Associates, Inc. (CRD#: 20999) in Tampa, Florida, is currently involved in three pending customer disputes totalling over $900,000, according to his BrokerCheck record accessed on January 17, 2020.. On March 4, 2019, a client alleged that Bart Bohrer violated the Minnesota Securities Act and violated federal securities laws. JOHN WILLIAMS WAS TERMINATED FROM A FORMER EMPLOYER In 2013 he was terminated from his position at LPL Financial following allegations he violated firm policy regarding outside business activities. If you or someone you know has lost money investing with John Williams Jr., call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. ALVIN MURGAI HAS RECEIVED TWO CUSTOMER COMPLAINTS According to his BrokerCheck report, Alvin Murgai has received two customer complaints and one closed customer complaint. In 2013 a customer alleged Alvin Murgai, while employed at Merrill Lynch, misrepresented and omitted material facts related to an investment, and made unsuitable investment recommendations. DANIEL ROZZI HAS HAD MULTIPLE TAX LIENS FILED AGAINST HIM The complaint settled in 2014 for $475,000. In 2008 a customer alleged Daniel Rozzi, while employed at Morgan Stanley & Company, did not perform a trade as instructed. The complaint settled for $75,000. If you or someone you know has complaints regarding investments made with Daniel Rozzi, call Fitapelli Kurta at 877-238-4175 for a free JORDAN MONTGOMERY SUBJECT OF FINRA INVESTIGATION He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. According to his BrokerCheck report, Jordan Montgomery has received one FINRA sanction and is the subject of a pending investigation. He was additionally “permitted to resign” from his position at NMIS, LLC. In June 2016, theMinnesota
JEFFREY LARSON: $10.5 MILLION COMPLAINT AGAINST LARSON Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
LARRY ASCHEBROOK SETTLED A CUSTOMER COMPLAINT LAST YEAR Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is currently not affiliated with any broker-dealer firm. ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
JAMES CADY: DISCHARGED FROM WELLS FARGO In 2003 a customer alleged James Cady, while employed at Merrill Lynch, recommended unsuitable investments. The complaint settled for $50,000. If you have complaints regarding James Cady, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoupyour losses.
JORDAN MONTGOMERY SUBJECT OF FINRA INVESTIGATION He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. According to his BrokerCheck report, Jordan Montgomery has received one FINRA sanction and is the subject of a pending investigation. He was additionally “permitted to resign” from his position at NMIS, LLC. In June 2016, theMinnesota
JOHN WILLIAMS WAS TERMINATED FROM A FORMER EMPLOYER In 2013 he was terminated from his position at LPL Financial following allegations he violated firm policy regarding outside business activities. If you or someone you know has lost money investing with John Williams Jr., call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties LARRY ASCHEBROOK SETTLED A CUSTOMER COMPLAINT LAST YEAR Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is currently not affiliated with any broker-dealer firm. JEFFREY LARSON: $10.5 MILLION COMPLAINT AGAINST LARSON Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. JON RANDALL WAS RECENTLY TERMINATED FROM A FORMER EMPLOYER Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2017 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Jon Randall was recently terminated from her former employer in connection to alleged rule violations and is currently not affiliated with anybroker-dealer firm.
ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
JAMES CADY: DISCHARGED FROM WELLS FARGO In 2003 a customer alleged James Cady, while employed at Merrill Lynch, recommended unsuitable investments. The complaint settled for $50,000. If you have complaints regarding James Cady, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoupyour losses.
JORDAN MONTGOMERY SUBJECT OF FINRA INVESTIGATION He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. According to his BrokerCheck report, Jordan Montgomery has received one FINRA sanction and is the subject of a pending investigation. He was additionally “permitted to resign” from his position at NMIS, LLC. In June 2016, theMinnesota
JOHN WILLIAMS WAS TERMINATED FROM A FORMER EMPLOYER In 2013 he was terminated from his position at LPL Financial following allegations he violated firm policy regarding outside business activities. If you or someone you know has lost money investing with John Williams Jr., call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties LARRY ASCHEBROOK SETTLED A CUSTOMER COMPLAINT LAST YEAR Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is currently not affiliated with any broker-dealer firm. JEFFREY LARSON: $10.5 MILLION COMPLAINT AGAINST LARSON Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. JON RANDALL WAS RECENTLY TERMINATED FROM A FORMER EMPLOYER Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2017 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Jon Randall was recently terminated from her former employer in connection to alleged rule violations and is currently not affiliated with anybroker-dealer firm.
SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
BROKER GARY FELDMAN SANCTIONED BY FINRA The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional VINCENT CAMARDA: SIX CUSTOMER COMPLAINTS The complaint settled for more than $9,000. If you or someone you know has complaints regarding Vincent Camarda, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
WILLIAM BAUM IS THE SUBJECT OF A PENDING FINRA Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRAinvestigation.
SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDING Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
BART BOHRER, OF CALTON & ASSOCIATES, INVOLVED IN THREE Bart Bohrer (CRD#: 4315654), a registered representative with Calton & Associates, Inc. (CRD#: 20999) in Tampa, Florida, is currently involved in three pending customer disputes totalling over $900,000, according to his BrokerCheck record accessed on January 17, 2020.. On March 4, 2019, a client alleged that Bart Bohrer violated the Minnesota Securities Act and violated federal securities laws. ALVIN MURGAI HAS RECEIVED TWO CUSTOMER COMPLAINTS According to his BrokerCheck report, Alvin Murgai has received two customer complaints and one closed customer complaint. In 2013 a customer alleged Alvin Murgai, while employed at Merrill Lynch, misrepresented and omitted material facts related to an investment, and made unsuitable investment recommendations. JONATHAN PYNE HAS RECEIVED TWO CUSTOMER COMPLAINTS According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints. In July 2017 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, misled her into purchasing an illiquid investment. The customer is seeking unspecified damages in the pendingcomplaint.
DANIEL ROZZI HAS HAD MULTIPLE TAX LIENS FILED AGAINST HIM The complaint settled in 2014 for $475,000. In 2008 a customer alleged Daniel Rozzi, while employed at Morgan Stanley & Company, did not perform a trade as instructed. The complaint settled for $75,000. If you or someone you know has complaints regarding investments made with Daniel Rozzi, call Fitapelli Kurta at 877-238-4175 for a free JORDAN MONTGOMERY SUBJECT OF FINRA INVESTIGATION He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. According to his BrokerCheck report, Jordan Montgomery has received one FINRA sanction and is the subject of a pending investigation. He was additionally “permitted to resign” from his position at NMIS, LLC. In June 2016, theMinnesota
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
JEFFREY LARSON: $10.5 MILLION COMPLAINT AGAINST LARSON Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. LARRY ASCHEBROOK SETTLED A CUSTOMER COMPLAINT LAST YEAR Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is currently not affiliated with any broker-dealer firm. EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE The complaint settled for $250,000. If you or someone you know has complaints regarding Eduardo Diaz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collectmoney.
SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER In 2015 a customer alleged Susan Moore, while employed at LPL Financial, recommended unsuitable REIT and exchange traded fund (ETF) investments. The customer is seeking $500,000 in damages in the pending complaint. In 2014 a customer alleged Susan Moore, while employed at LPL Financial, withdrew money “using an expired power ofattorney form.”.
ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. BROKER GARY FELDMAN SANCTIONED BY FINRADR GARY FELDMAN MARYLANDGARY FELDMAN MD DDSGARY FELDMAN MD LONG BEACHGARY FELDMAN ORAL SURGEONGARY FELDMAN PODIATRIST ROCKVILLEGARY FELDMAN SEATTLE The complaint settled for $7,500. In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900. If you or someone you knowhas lost
JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS The complaint settled in August 2017 for more than $36,700. In 2012 a customer alleged John Saunders, while employed at UBS Financial Services, failed to properly allocate and diversify the accounts. The complaint settled in 2013 for $75,000. If you or someone you know has complaints regarding John Saunders, call Fitapelli Kurta at877-238-4175
ZACHARY BRODT HAS BEEN NAMED IN A PENDING FINRA He is a registered broker and investment adviser with six US states: Arizona, California, Georgia, Nevada, New York, and Texas. According to his BrokerCheck report, Zachary Brodt has been named in a pending FINRA investigation. In November 2017 FINRA announced that it had made a preliminary determination to recommend disciplinary action against PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES According to his BrokerCheck report, Paul Alexander has received two customer complaints and was discharged from Parsonex Securities. In July 2016 Paul Alexander was terminated from Parsonex Securities following allegations he “provided false information to the firm regarding the date he was closing a registered branch officelocation.”.
GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer. In 2016 a customer alleged Grant Jaax, while employed at Morgan Stanley Smith Barney, misrepresented material facts related to a managed account and its associated fees. The complaint settled in 2017 for more than$15,800.
SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Randyl Taber Was Terminated From His Former Employer. Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged ruleviolations.
SUSAN MOORE: ETF AND REIT COMPLAINT FOR LPL BROKER The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regardingAlabama-based
ATP OIL & GAS (ATPAQ) FILES FOR BANKRUPTCY In 2012, ATP Oil & Gas (ATPAQ) filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. PAUL ALEXANDER DISCHARGED FROM PARSONEX SECURITIES Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 11, 2016 indicate that former Colorado-based Parsonex Securities broker Paul Alexander has been the subject of customer complaints. BROKER GARY FELDMAN SANCTIONED BY FINRADR GARY FELDMAN MARYLANDGARY FELDMAN MD DDSGARY FELDMAN MD LONG BEACHGARY FELDMAN ORAL SURGEONGARY FELDMAN PODIATRIST ROCKVILLEGARY FELDMAN SEATTLE Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that New York-based JH Darbie & Company broker/adviser Gary Feldman has been sanctioned by FINRA. JOHN SAUNDERS ALLEGEDLY MISMANAGED MULTIPLE ACCOUNTS Virginia-based UBS Financial Services broker/adviser John Saunders has received several customer disputes including alleged mismanagement of accounts and providing incorrect information. EDUARDO DIAZ HAS BEEN PERMANENTLY BARRED FROM THE Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 31, 2016 indicate that former Florida-based Kovack Securities broker Eduardo Diaz has been permanently barred from acting as a broker and an investment adviser, or otherwise associating with firms that sell securities to thepublic.
ZACHARY BRODT HAS BEEN NAMED IN A PENDING FINRA Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Arizona-based First Financial Equity Corporation broker/adviser Zachary Brodt has been named in a pending FINRA investigation. SEC ANNOUNCES JUDGMENT AGAINST STEPHEN HICKS, SOUTHRIDGE A Securities and Exchange Commission release published on February 15, 2018 states that the SEC has obtained “final judgments” against a Stephen Hicks, a hedge fund manager based in Ridgefield, Connecticut, as well as his investment advisory firms. According to the release, a Connecticut federal court ordered the defendants “to pay nearly $13 million in disgorgement and penalties GRANT JAAX WAS TERMINATED FROM A FORMER EMPLOYER Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Georgia-based Raymond James & Associates broker/adviser Grant Jaax has received a customer dispute and is currently not affiliated with anybroker-dealer firm.
RANDYL TABER WAS TERMINATED FROM HIS FORMER EMPLOYER Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to allegedrule violations.
JOHN WILLIAMS WAS TERMINATED FROM A FORMER EMPLOYER In 2013 he was terminated from his position at LPL Financial following allegations he violated firm policy regarding outside business activities. If you or someone you know has lost money investing with John Williams Jr., call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. JOSEPH PRATT, FORMER PENNSYLVANIA BROKER, BARRED BY FINRA Joseph Pratt (CRD#: 719416), formerly a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793), has been barred by FINRA for alleged insider trading, according to his BrokerCheck report accessed on October 23, 2019. On September 5, 2019, Joseph Pratt entered into an AWC in which he consented to the findings thathe “obtained
JEFFREY LARSON: $10.5 MILLION COMPLAINT AGAINST LARSON Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. JAMES ROBINSON: TWO REGULATORY SANCTIONS Mr. Robinson was issued a one-year suspension and a fine of $45,000. If you have complaints regarding James Robinson, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. JON RANDALL WAS RECENTLY TERMINATED FROM A FORMER EMPLOYER Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2017 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Jon Randall was recently terminated from her former employer in connection to alleged rule violations and is currently not affiliated with anybroker-dealer firm.
CUSTOMER ALLEGED JUSTIN VACCARO RECOMMENDED UNSUITABLE Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Oregon-based JW Cole Financial broker/adviser Justin Vaccaro has received resolved or pending customer disputes. CORY TAYLOR HAS BEEN THE SUBJECT OF THREE REGULATORY Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that former Ohio-based Ameriprise Financial Services broker Cory Taylor has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. JONATHAN PYNE HAS RECEIVED TWO CUSTOMER COMPLAINTS According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints. In July 2017 a customer alleged Jonathan Pyne, while employed at Berthel Fisher & Company Financial Services, misled her into purchasing an illiquid investment. The customer is seeking unspecified damages in the pendingcomplaint.
LARRY ASCHEBROOK SETTLED A CUSTOMER COMPLAINT LAST YEAR Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 idnicate that former Georgia-based Watchdog Capital broker Larry Aschebrook has been the subject of a customer complaint and is currently not affiliated with any broker-dealer firm. JORDAN MONTGOMERY SUBJECT OF FINRA INVESTIGATION He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. According to his BrokerCheck report, Jordan Montgomery has received one FINRA sanction and is the subject of a pending investigation. He was additionally “permitted to resign” from his position at NMIS, LLC. In June 2016, theMinnesota
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SECURITIES LAW ATTORNEYS BLOG CARL GILL: INVESTOR SEEKS TO RECOVER SIX-FIGURE LOSSESMay 18, 2021
Posted in: Customer Complaints Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in a six-figure dispute according to his Investment Adviser Public Disclosure record, accessedon May…
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CLYDE JENSEN SUBJECT OF FINRA ACTION: REGULATOR ALLEGES UNETHICALPRACTICES
April 5, 2021
Posted in: FINRA Complaint Clyde Jensen (CRD #: 5658476), a Tampa, Florida broker registered with TD Private Client Wealth, is the subject of a FINRA regulatory action, according to his BrokerCheck record, accessed on…Continue Reading
KURT BALDRY: INVESTORS ALLEGE SIX-FIGURE LOSSESMarch 1, 2021
Posted in: Customer Complaints Kurt Baldry (CRD #: 1568930), a broker registered with Ausdal Financial Partners, is involved in two pending disputes, according to his BrokerCheck record, accessed on February 23, 2021. Both involve…Continue Reading
KIRK PICKELL: INVESTOR ALLEGES THAT UNSUITABLE RECOMMENDATIONS LED TO$10,000,000 LOSS
February 5, 2021
Posted in: Customer Complaints Kirk Pickell (CRD #: 2294187), a broker and investment adviser registered with Janney Montgomery Scott, is involved in a $10,000,000 investor dispute, according to his BrokerCheck record, accessed onJanuary…
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INVESTORS ALLEGE BRYON MARTINSEN’S RECOMMENDATIONS RESULTED IN LOSSES OF OVER $9 MILLIONJanuary 19, 2021
Posted in: Customer Complaints Bryon Martinsen (CRD #: 1621649), a broker registered with Centaurus Financial, has three pending investor disputes regarding suitability, according to his BrokerCheck record, accessed on January 8, 2020.These three…
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RODERICK VON LIPSEY INVOLVED IN CUSTOMER DISPUTE REGARDING YIELD ENHANCEMENT STRATEGYDecember 18, 2020
Posted in: Customer Complaints Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on…Continue Reading
GUIL NERGARD: INVESTOR ALLEGES UNAUTHORIZED TRADESDecember 4, 2020
Posted in: Customer Complaints Guil Nergard (CRD #: 2360614), a broker registered with Raymond James & Associates, has racked up a fourth investor dispute, according to his BrokerCheck record, accessed on November 30, 2020.…Continue Reading
CHAD VANDENBUSCH FACING CLIENT ALLEGATIONS REGARDINGMISREPRESENTATIONS
September 18, 2020
Posted in: Customer Complaints Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading…Continue Reading
SYLVESTER KNOX SUSPENDED BY FINRA FOLLOWING STATE REGULATORY ACTIONS AND CLIENT DISPUTES ALLEGING UNAUTHORIZED TRANSACTIONSAugust 24, 2020
Posted in: Uncategorized Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the FinancialIndustry…
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CHRISTOPHER WURTZINGER SUSPENDED BY FINRA AND SUBJECT OF A CUSTOMERCOMPLAINT
August 21, 2020
Posted in: Uncategorized Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory…Continue Reading
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