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Articles Tagged with Churning

John Santariello (CRD#: 5746158), formerly a registered representative with Arive Capital Markets (CRD#: 8060) in Coram, New York, is currently involved in a customer dispute in which a client alleges he engaged in churning, traded excessively, and recommended unsuitable investments, according to his BrokerCheck report accessed on October 1, 2019. The client is seeking $307,042 […]

Peter Huffman (CRD#: 5613027), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, is currently involved in a pending dispute in which a client is alleging he engaged in excessive trading to generate extra commissions (known as “churning”). The client is requesting $2,797,295 in damages, according to Peter Huffman’s […]

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 […]

Chuck Laubach (CRD#: 1097453), a 36-year veteran of the securities industry whose career spans seven firms and who is currently registered with Capital Portfolio Management in Timonium, Maryland, entered into an AWC on June 20, 2019 in which he consented to a ten-day suspension by FINRA for effecting discretionary transactions without proper authorization, according to […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based National Securities broker Felippe Alves 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. Alves (CRD# 4699678). Felippe […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 28, 2016 indicate that New York-based National Securities broker Robert Rotunno 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. Rotunno (CRD# 4025263). Robert Rotunno has spent […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2016 report that New York-based Merrill Lynch broker/adviser Jacquin Fink has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fink […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Florida-based Morgan Stanley broker/adviser Armando Fernandez has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fernandez (CRD# 3079602). Armando Fernandez has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 13, 2016 indicate that former New York-based Woodstock broker David Robert Wolk has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wolk (CRD# 2945630). David Robert […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that New York-based Laidlaw & Company broker Peter Viglione has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Viglione (CRD# 4697621). Peter Viglione has […]

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