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Articles Tagged with breach of fiduciary duty

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, […]

John Holland (CRD#: 2538118), a registered representative with Summit Brokerage Services, Inc. in Charleston, West Virginia, is currently involved in a pending dispute in which a client alleges “negligence and breach of fiduciary duty,” according to his BrokerCheck report accessed on August 12, 2019. The claim was filed on May 24, 2019 and the client […]

Dean Kajouras (CRD#: 1436548), currently a registered representative with Fordham Financial Management, Inc. of New York, New York is being sued for breach of fiduciary duty, according to his BrokerCheck report accessed on August 6, 2019. On June 8, 2019, Dean Kajouras became involved in a customer dispute in which a client alleges, “misrepresentation, breach […]

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 […]

On June 17, 2019, John Wyshak, whose 33 years of experience in the securities industry spanned nine firms, became involved in a customer dispute. The allegations are “unauthorized trading, suitability, excessive commissions, violations of industry standards, violation of FINRA Rule 2020, NYSE Rule 405, breach of fiduciary duty, negligent retention, fraud, omission of material facts, […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Georgia-based Raymond James & Associates broker/adviser William Lellyett, Jr. has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lellylett […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Capital Financial Services broker/adviser William Fauzio has received several customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fauzio (CRD# 2193834). William […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that former Georgia-based Allstate Financial Services broker Patrick Bellantoni is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Washington DC-based Oppenheimer & Company broker/adviser Andrew Martin has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Martin (CRD# 2410569). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that former New York-based Southeast Investments broker John Kakonikos is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have […]

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