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Articles Tagged with failure to supervise

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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that New York-based Network 1 Financial broker James Bernthal is the subject of 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. Bernthal (CRD# 4871243). James Bernthal […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that former Utah-based Orchard Securities broker Gregory Paul is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Paul (CRD# 1300697). Gregory Paul has spent 27 years in […]

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