Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell

Articles Posted in Securities Fraud Reports

A news release published by the Securities and Exchange Commission on March 28, 2019 reports that the SEC has filed fraud charges against Richard Diver, formerly the Chief Operating Officer of a Colorado-based investment adviser, M&R Capital Management, in connection with allegations he aided and abetted the firm’s overcharging of its customers “as part of […]

A news release published by the Massachusetts Secretary of the Commonwealth’s office on March 8, 2019 reports that William Galvin, the Secretary of the Commonwealth, opened an investigation into allegations that Wells Fargo Advisors made “inappropriate referrals of brokerage customers to managed and advisory accounts” as well as unsuitable investment recommendations and unsuitable referrals. Fitapelli […]

Publicly available records published by the Securities and Exchange Commission (SEC) on March 25, 2019 indicate that the SEC has filed fraud charges against Direct Lending Investments, LLC, a registered investment adviser, in connection with allegations that the company orchestrated “a multi-year fraud” causing about $11 million in “over-charges of management and performance fees to […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 3, 2019 indicate that Nebraska-based broker-dealer firm Oppenheimer & Company has received more than 250 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Oppenheimer & Company (CRD# 249). Established in New […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 3, 2019 indicate that Nebraska-based broker-dealer firm Securities America has received more than 70 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Securities America (CRD# 10205). Established in Delaware in […]

Publicly available records published by the US Department of Justice on May 12, 2017, indicate that Virginia resident Tamer Moumen pleaded guilty to wire fraud in connection with charges that he misused investors’ funds, “some of which were invested through a purported hedge fund called Crescent Ridge Capital Partners.” Fitapelli Kurta is interested in hearing […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on February 14th, 2010 indicate that New York-based brokerage and advisory firm Royal Alliance Associates has been named in a complaint by the Massachusetts Securities Division. Fitapelli Kurta is investigating allegations of misconduct against Royal Alliance Associates (CRD# 23131). Established in Delaware in […]

Two residents of Princeton, New Jersey, Ford and Katherine Graham, have been accused by the state’s Bureau of Securities of orchestrating a Ponzi scheme in which they “defrauded millions of dollars from investors in their ‘social circle,’” according to a report by NJBiz. According to the lawsuit, they allegedly used the funds provided by their […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that former Indiana-based RBC Capital Markets broker Thomas Johnson, currently an investment adviser with Royal Capital Wealth Management, has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former Colorado-based National Planning Corporation broker Joshua Mischke, who is registered as an investment adviser with Infinite Wealth Management, was recently sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not affiliated […]

Contact Information