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Articles Posted in REIT

Gen Mar (CRD#: 2744037), a registered representative with Berthel, Fisher & Company Financial Services, Inc. (CRD#: 13609) in Northbrook, Illinois, is currently involved in two pending customer disputes in which clients are requesting over $1.5 million damages, according to his BrokerCheck record accessed on March 3, 2020. On May 1, 2019, clients filed a customer […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Gary Barth (CRD#: 2466996), a registered representative with Ameritas Investment Corp. (CRD#: 14869) in Kearney, Nebraska, is currently involved in a pending customer dispute in which clients are seeking $600,000 in damages, according to his BrokerCheck record accessed on January 16, 2020. The clients allege that Gary Barth misrepresented the nature of investments when selling […]

JoePat Roop (CRD#: 2774470), a registered representative with Dempsey Lord Smith, LLC (CRD#: 141238) in Belmont, North Carolina, is currently involved in a customer dispute in which a client alleges that he recommended unsuitable alternative investments, including Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 3, 2020. The activity in […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

Jeffrey Davis (CRD#: 2501354) is a broker affiliated with Kovacs Securities Inc. He does business as Davis Financial, LLC of Bristol, Connecticut. On June 10, 2019, he became involved in a pending customer dispute in which a client is alleging that he recommended unsuitable fixed index annuity and mutual funds, and overconcentrated REITs in her […]

Adam Lunceford (CRD#: 4686499), a 15-year veteran of the securities industry whose experience spans five firms, is currently a Scottsdale, Arizona-based registered representative with LPL Financial. He does business as the Householder Group. On June 26, 2019, he became involved in a customer dispute that alleged that he “disregarded the Claimant’s objectives by recommending that […]

Northstar Healthcare Income REIT, a public, non-traded real estate investment trust, has recently suspended its distributions, according to filings made with the Securities and Exchange Commission. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Northstar Healthcare Income REIT. According to the company’s website, Northstar Healthcare is a public, […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former California-based US Bancorp Investments broker/adviser John Wade has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 1, 2018 indicate that former Maine-based Purshe Kaplan Sterling Investments broker/adviser Park Johnson has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Johnson (CRD# 1993266). […]

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