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Articles Posted in Securities Fraud Reports

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 […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2019 list more than a dozen brokers and/or investment advisers reported in December 2018 as suspended from association with FINRA member firms. The financial professionals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the […]

Publicly available records provided by the Kentucky Department of Insurance, accessed on January 11, 2018, as well as contemporaneous news reports indicate that former insurance agent Jerry Simpson has been indicted in Kentucky on charges of wire fraud. According to a press release on kentucky.gov, Jerry Wayne Simpson of Madisonville, Kentucky previously worked as a […]

Fitapelli Kurta, a New York city based law firm, is investigating claims against GPB Holdings related to recent allegations that the fund is operated as ponzi scheme.  These allegations were asserted against GPB Holdings by a former operating partner, Patrick Dibre, in a counterclaim filed in New York State Supreme Court. If you or someone […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Illinois-based Lifemark Securities Corporation broker/adviser Stephen Carver was recently named in a pending customer complaint and a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. […]

Publicly available records provided by the Texas Department of Insurance, as well as contemporaneous news reporting by the Insurance Journal, indicate that Chia Wang, a former Texas-based insurance agent, has been indicted on charges that he sold a fraudulent life insurance policy to an 87-year old customer. According to the Department of Insurance, Wang conducted […]

Alabama-based insurance agent Ronald Warren Powell has pleaded guilty to one count of securities fraud in the Colbert County Circuit Court, according to a report by Rocket City Now, as well as one count of insurance fraud. The plea deal with Mr. Powell was disclosed by the Director of the Alabama Securities Commission, Joseph Borg, […]

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