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Articles Tagged with broker fraud

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that South Dakota-based Arete Wealth Management broker/adviser Dennis Thurman has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurman (CRD# 2342398). Dennis Thurman has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Alabama-based Morgan Stanley broker/adviser Stephen Daughdrill 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. Daughdrill (CRD# 823423). Stephen […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Colorado-based Presidential Brokerage broker/adviser Jason McBride has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McBride (CRD# 1875972). Jason McBride has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Arkansas-based Wilbanks Securities broker Andrew Hardie has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hardie (CRD# 1765110). Andrew […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that Florida-based Raymond James & Associates broker/adviser Joel Burstein Jr. has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burstein (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Florida-based Saxony Securities broker/adviser Gareth Evans has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Evans (CRD# 2535299). Gareth Evans has spent 19 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Minnesota-based Capital Financial Services broker/adviser Steven Knuttila has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Knuttila (CRD# 3039112). Steven […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that California-based Arete Wealth Management broker Sam Bhushan has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bhushan (CRD# 4884717). Sam […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Idaho-based National Securities broker/adviser Jason Hawke has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hawke (CRD# 4177415). Jason Hawke has spent 15 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and the US Justice Department on May 6, 2016 indicate that former Florida-based Dawson James Securities broker Pranav Patel has been indicted in an alleged “market manipulation scheme.” The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who […]

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