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Articles Posted in How to Avoid Financial Scams

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). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that Maryland-based Benjamin F. Edwards & Company broker/adviser Raymond Faby has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Faby (CRD# 715572). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that New Jersey-based Merrill Lynch broker/adviser Chunyen Wang, also known as Gene Wang, 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that New York-based Raymond James broker/adviser Ira Bauman has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing form investors who have complaints regarding Mr. Bauman (CRD# 1079115). […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that California-based Charles Schwab broker/adviser John Thuma has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thuma (CRD# 2340205). John Thuma […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that Michigan-based CUSO Financial Services broker/adviser David Ballantyne has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ballantyne (CRD# 2075205). David […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 15, 2016 indicate that Georgia-based Prospera Financial Services broker/adviser John Crook is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Crook (CRD# 2715424). John […]

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