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Articles Posted in Terminated

Mark Wetherell (CRD#: 1373405), a 34-year veteran of the securities industry, has been discharged from Kovack Securities, Inc. of Summerville, South Carolina after he allegedly borrowed money from a client and failed to repay it in full, according to his BrokerCheck report accessed on September 25, 2019. Mark Wetherell, who does business as Wetherell Capital […]

Timothy E. Johnson  (CRD#: 5701828) was terminated from MML Investors Services, LLC in Lawrenceville, Georgia “in connection with an investigation into the registered representative’s diversion of customer funds for his own use” according to his BrokerCheck report accessed on September 3, 2019. When you invest with a broker, you expect that your portfolio will be […]

On July 9, 2019, UBS Financial Services Inc. terminated Ricardo Turlan (CRD#: 4431836). UBS found that he “exercised discretion in two client accounts without written authorization” and that his “trading in other accounts reached levels that could be considered qualitatively unsuitable (ROAs between 3.0 and 9.0 for a twelve month period).” Ricardo Turlan is not […]

Ameriprise Financial terminated Philip H. Sheridan (CRD#: 2694126) on July 10, 2019 for “compliance policy violations related to exercising discretion in non-discretionary accounts, providing unapproved research/sales literature to clients and conducting business from an unregistered location,” according to his BrokerCheck record accessed on August 23, 2019. While Philip H. Sheridan formerly worked for Ameriprise Financial […]

David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019.  The claimant is requesting $700,000 in damages. This was preceded by a claim filed on […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Paul Bonaccini (CRD #: 2071614), a 28-year veteran of the securities industry whose experience spans five firms, was terminated from Raymond James & Associates (CRD#: 705) on June 4, 2019 for “failure to follow management directives and allegations of unauthorized trading in client accounts,” according to his BrokerCheck report accessed on July 31, 2019. He […]

Charles Kerker (CRD#: 1317057), a 34-year veteran of the securities industry whose experience spans three firms, was terminated from Next Financial Group, Inc. of Cohoes, New York on June 18, 2019 due to “failure to adequately respond to a compliance inquiry regarding equity transactions in 12 customer accounts. Specifically, the date and time that clients […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that New Jersey-based Northwestern Mutual Investment Services broker/adviser Manish Shah was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking […]

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