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Articles Tagged with failure to supervise

Mark Reinstein (CRD#: 1486887), a registered representative with Cabot Lodge Securities LLC (CRD#: 159712) in Greenville, South Carolina, is currently involved in two pending customer disputes, according to his BrokerCheck record accessed on May 26, 2020. Read on for more details about these complaints against Mark Reinstein. On April 15, 2020, a customer alleged that […]

Frank Avallone (CRD#: 4814368), a registered representative with National Securities Corporation (CRD#: 7569) in South Norwalk, Connecticut, is currently involved in two pending customer disputes over suitability, according to his BrokerCheck record accessed on May 7, 2020.  Read on to learn more. On November 7, 2019, a customer alleged that Frank Avallone recommended unsuitable investments. […]

Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a client alleges “unsuitable investments, negligent hiring, failure to supervise, misrepresentations and omissions, and breach of purported settlement agreement,” according to his BrokerCheck record. The claimant […]

Bob Weissbein (CRD#: 1089065), a registered representative with First Allied Securities, Inc. of Davie, Florida who does business as Complete Financial Inc., is currently involved in a dispute in which a client alleges he recommended unsuitable investments, breached his fiduciary duty, and engaged in negligence, according to his BrokerCheck record accessed on August 22, 2019. […]

According to publicly available records provided by the Texas State Securities Board on August 3, 2016, New Jersey-based broker-dealer The Investment Center has been fined following allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding The Investment Center (CRD# 17839). Formed in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Florida-based IFS Securities broker Rick Frueh 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 10, 2016 indicate that Massachusetts-based Wells Fargo Advisors broker James Connors 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. Connors (CRD# 1361944). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that Pennsylvania-based Oppenheimer & Company broker/adviser Christopher Coloracci has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coloracci (CRD# 1678486). Christopher […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that former Vermont-based Avenir Financial Group broker David Allen 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that Florida and New York-based VFinance and National Securities broker Mark “Goldie” Goldwasser is the subject of one customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

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