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Articles Tagged with customer complaints

William Baum (CRD#: 1528847), a registered representative with Great American Investors, Inc. in Overland Park, Kansas, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on November 12, 2019. On September 10, 2019, William Baum became involved in a customer dispute in which clients allege that he “failed to recommend […]

Bernie Audet (CRD#: 1317819), a registered representative with MML Investors Services, LLC (CRD#: 10409) in Newtown Square, Pennsylvania, is currently involved in two pending customer disputes over variable universal life insurance policies, according to his BrokerCheck record accessed on October 23, 2019. In a customer dispute filed on September 24, 2019, the owner of a […]

Larry Boggs (CRD#: 1874727), a registered representative with International Assets Advisory, LLC in Atlanta, Georgia, is currently involved in a pending customer dispute in which a client alleges that Larry Boggs made “unsuitable investment recommendations,” according to his BrokerCheck report accessed on October 22, 2019. The complaint also alleges “breach of contract, violation of Alabama […]

Nancy Glassman (CRD#: 1734992), currently a registered representative with Morgan Stanley in New York, New York, is involved in a pending dispute in which a client is alleging unsuitability regarding a wrap account, according to her BrokerCheck record accessed on August 13, 2019. The complaint was filed on May 21, 2019 and the client is […]

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, […]

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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Minnesota-based Moloney Securities broker/adviser Matthew Lilleberg 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. Lilleberg (CRD# 4595739). Matthew Lilleberg […]

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 […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based Investors Capital broker/adviser Scott Aabel 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. Aabel (CRD# 1493667). Scott Aabel […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based McDonald Partners broker/adviser John Goodman 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. Goodman (CRD# 1386009). John […]

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