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Articles Tagged with excessive commissions

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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that Washington DC-based Morgan Stanley broker/adviser Peter Doyle is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Doyle (CRD# 2370593). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that New Jersey-based LPL broker Darius Michalski 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. Michalski (CRD# 2520180). Darius Michalski […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that California-based Wells Fargo Advisors broker/adviser Scott Burns 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. Burns (CRD# 1250804). Scott […]

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