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Articles Posted in Investor Tips

Introduction In a record-breaking move, the Securities and Exchange Commission has awarded $50 million to a whistleblower. The whistleblower’s insider observations of misconduct by a company resulted in millions of dollars being returned to defrauded investors, according to a press release published by the SEC on June 4, 2020. To protect the identity of the […]

Tony Lapia (CRD#: 1560467), a registered representative with Wells Fargo Clearing Services, LLC (CRD#: 19616) in Houston, Texas, is currently involved in a pending customer dispute in which a client is seeking more than $100,000 in damages. A client is alleging that Tony Lapia’s trading strategy was unsuitable, according to his BrokerCheck record accessed on […]

The relationship between a broker and their client should be one based on trust. Sometimes brokers develop close personal relationships with their clients. For some clients, such as the elderly or homebound, their broker may be the closest person to them. But some brokers have used this personal relationship as an opportunity to borrow money […]

Stocks, bonds, cash equivalents—your investment portfolio is composed of different asset categories. But a 25-year-old’s portfolio looks markedly different from that of a 65-year-old—or at least it should. As you age and move closer to retirement, your asset allocation should reflect your desire to preserve capital, which manifests itself as a decreased tolerance for risk. […]

If you’ve lost money to broker fraud, you should consider seeking the counsel of an attorney who can represent you in arbitration and mediation proceedings before FINRA, the Financial Industry Regulatory Authority. How can you find a free FINRA attorney? Many law schools run clinics designed to help underserved investors recover lost funds. Why are […]

Market-linked CDs are attractive investments that give investors the opportunity to earn higher returns than they might with conventional CDs. But, of course, they also have their share of risks, and may in some cases underperform conventional CDs. While they generally have a certain amount of principal protection, there are ways that investors can lose […]

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Tempur Sealy International (NYSE:TPX) in connection to alleged violations of securities laws by TPX. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Tempur Sealy International between July 28, 2016 and January […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 2, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Kenneth Christman is the subject of a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Christman (CRD# 4306483). Kenneth Christman has spent fifteen […]

According to publicly available records provided by the Securities and Exchange Commission (SEC), two investment advisory firms, Raymond James & Associates and Robert W. Baird & Company, have settled “charges related to compliance failures within their wrap fee programs.” An SEC release published on September 8, 2016 states that Raymond James & Associates and Robert […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that California-based KMS Financial Services broker/adviser Christopher Bradford has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bradford (CRD# 4572707). […]

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