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Articles Posted in FINRA Claims

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 […]

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 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. […]

H. Beck, a Maryland-based broker-dealer firm, has been fined $400,000 by the Financial Industry Regulatory Authority (FINRA) in connection to allegedly unsuitable variable annuity recommendations resulting from the firm’s failure to enforce supervisory guidelines, according to an Investment News report published on November 21, 2018. FINRA found that H. Beck sold its customers more than […]

Publicly available records published by the Securities and Exchange Commission (SEC) and accessed on November 6, 2018, as well as contemporaneous reporting by Investment News indicate that former Pennsylvania-based Next Financial Group broker Douglas Simanski has agreed to settle SEC charges that he participated in a “$3.9 million fraud.” According to an SEC complaint filed […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2018 indicate that Cambridge Investment Research have been ordered to pay an award of $210,000 to an investor as the result of a FINRA arbitration concerning alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2018 indicate that UBS Financial Services and UBS Financial Services of Puerto Rico have been ordered to pay an award exceeding $19 million to a party of investors as the result of a FINRA arbitration. Fitapelli Kurta is interested […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2018 indicate that Wells Fargo Advisors has been ordered to pay an award totaling $360,800 to an investor as the result of a FINRA arbitration. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Wells Fargo. […]

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