Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell
BBB Accredited Business

Articles Tagged with fined

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Network 1 Financial Securities broker Robert Ciacco Jr. has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

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 June 28, 2016 indicate that Texas-based brokerage and advisory firm WFG Investments has been sanctioned and fined following allegations that, among others, it failed to apply sales charge discounts to certain purchases of unit investment trusts (UITs). The securities and investment fraud law […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that Florida-based brokerage Kovack Securities has been sanctioned by FINRA for alleged rule violations. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Kovack Securities (CRD# 44848). Kovack Securities […]

Former California-based NI Advisors broker/adviser Alfred Chan has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chan (CRD# 4473594). Alfred Chan has spent thirteen years in the securities industry and was most recently registered with NI Advisors in Oakland, […]

According to public records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, New York-based KC Ward Financial broker Craig Dima is the subject of several sanctions and settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Contact Information