Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Washington DC-based Oppenheimer & Company broker/adviser Bruce Tuinier, who has received a pending customer dispute, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that California-based Commonwealth Financial Network broker/adviser Kurt Jackson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Jackson (CRD# 2913769). Kurt Jackson has spent 21 years in […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Robert Shirley has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shirley (CRD# 2021090). Robert Shirley has spent 29 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that New York-based Laidlaw & Company broker/adviser John Busco has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Busco (CRD# 825869). John Busco has spent 36 […]

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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2019 indicate that New Jersey-based broker-dealer firm Royal Alliance Associates has received more than 60 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Royal Alliance Associates (CRD# 23131). Established […]

Publicly available records published by the Securities and Exchange Commission (SEC) and accessed on April 4, 2019 indicate that the SEC has filed charges against California-based investment adviser Carol Pedersen in connection with allegations she stole “millions of dollars from investors to perpetrate a Ponzi scheme.” Ms. Pedersen has accepted the entry of a judgment […]

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 […]

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