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Articles Tagged with excessive trading

Edward Rudiger (CRD#: 2118724), a registered representative with Reid & Rudiger LLC in New York, New York, is currently involved in two customer disputes in which customers are seeking over $500,000 in combined damages, according to his BrokerCheck record accessed on December 19, 2019. What allegedly happened to lead to these customer complaints against Edward […]

Douglas Gildenmeister (CRD#: 801713), a registered representative with Ameriprise Financial Services in Bellevue, Ohio, Inc., has been terminated from Raymond James & Associates for engaging in “unauthorized trading by taking discretion in non-discretionary accounts and taking trading instructions from an unauthorized individual” according to his BrokerCheck record accessed on December 19, 2019. On May 10, […]

Michael Sims (CRD#: 1034180), formerly a registered representative with Wedbush Securities in Santa Rosa, California, is currently involved in a $250,000 customer dispute.  A client, who filed the dispute on August 13, 2019, alleges “excessive trading, inappropriate investments, mismanagement of account, excessive commissions and lack of supervision,” according to Michael Sims’ BrokerCheck record accessed on […]

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 […]

Mark Wetherell (CRD#: 1373405), a 34-year veteran of the securities industry, has been discharged from Kovack Securities, Inc. of Summerville, South Carolina after he allegedly borrowed money from a client and failed to repay it in full, according to his BrokerCheck report accessed on September 25, 2019. Mark Wetherell, who does business as Wetherell Capital […]

Kevin Wolf (CRD#: 1067376), a registered representative with Wells Fargo Clearing Services, LLC of Naples, Florida, became involved in a pending customer dispute on July 10, 2019 in which a client alleges that he “made an unsuitable purchase of a life insurance policy,” according to his BrokerCheck report accessed on August 22, 2019. The client […]

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Network 1 Financial broker Patrick Teutonico (CRD# 2875434). Patrick Teutonico has spent 18 years in the securities industry and has been registered with Network 1 Financial in Lynbrook, New York since 2012. Previous registrations […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Morgan Stanley broker Keith Kordich (CRD# 2743797). Keith Kordich has spent seventeen years in the securities industry and has been registered with Morgan Stanley in Boca Raton, Florida since 2011. Previous registrations include Stifel Nicolaus […]

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