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Articles Tagged with customer complaint

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, […]

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 […]

Rick Latta (CRD#: 1532421), a 33-year veteran of the securities industry whose experience spans seven firms, is involved in customer dispute regarding annuity allocations and allegations that his investment strategy is too conservative. He is currently registered with Kovack Securities Inc. of Weston, Florida, according to his BrokerCheck report accessed on July 31, 2019. On […]

On June 24, 2019, broker Alexander Aiello (CRD #: 5684639), whose eight-year career in the securities industry has spanned four firms, became involved in a customer dispute. The claimants “allege that, between 2013 and 205, the [financial advisor] breached his fiduciary duty by churning their accounts and entering unauthorized trades.” Churning involves the buying and […]

FINRA, the Financial Industry Regulatory Authority, has suspended David Antypas (CRD #: 2603488), a financial advisor from Brentwood, Tennessee who was most recently registered with IFS Securities. David Antypas worked for six firms throughout his 23-year career, including: LPL Financial LLC (CRD# 6413) Continue Reading

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that New York-based broker/adviser Daniel Goldschmidt was recently discharged from his position at Merrill Lynch. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldschmidt (CRD# 5043278). Daniel […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Morgan Stanley broker/adviser Richard Zinman 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. Zinman (CRD# 1212093). Richard […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Pennsylvania-based Santander broker/adviser Willie Vales has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vales (CRD# 2166601). Willie Vales […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Rhode Island-based TIAA-Cref broker/adviser Gregory Murphy 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. Murphy (CRD# 1875783). Gregory […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Merrill Lynch broker Michael Dowd 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 speaking to investors who have complaints […]

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