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

Articles Tagged with FINRA arbitration

FINRA Disciplinary Actions November 2019 When brokers violate FINRA rules or federal securities regulations—by borrowing money from customers, forging documents, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full November 2019 report can be viewed […]

A three-person Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded $11 million to Mark Munizzi, a former market operations supervisor at UBS in Chicago who claimed that UBS defamed him when they terminated him in April 2018. What allegedly happened in this case? In February 2019, Mark Munizzi was overseeing two accounts, which declined […]

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 April 27, 2016 indicate that California-based Wells Fargo Advisors broker/adviser Gregory Chachas is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Chachas (CRD# 1269551). […]

California-based IFG broker/adviser Kyusun Kim  is 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. Kim (CRD# 2864085). Kyusun Kim has spent eighteen years in the securities industry and has been registered with Independent Financial Group in San Diego, […]

New Jersey-based NFP broker/adviser Kevin Ellman is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ellman (CRD# 2116368). Kevin Ellman has spent 24 years in the securities industry and has been registered with NFP Securities in Ridgewood, […]

According to a recent article on MarketWatch.com, customers have asserted causes of action for unsuitability and failure to supervise. While the damages sought against Wells Fargo are not specified in the article, both Nancy Eckler and Kevin Wolf’s BrokerCheck Reports indicate an identical pending customer complaint from June 6, 2014. The customer is seeking $75,000 from Eckler and from Wolf each for unsuitable investments, given the customer’s age and risk tolerance.

A customer complaint is pending with the FINRA Arbitration and Mediation Department against Merrill Lynch stockbroker, Phil Scott (Walter Schlaepfer) The customer is seeking $3.5 million in damages, and is alleging unsuitable investments, misrepresentation and omission of material facts from investments made in 2008 and 2009.

On September 22, 2014 the Financial Industry Regulatory Authority, or FINRA, barred Barkley Lundy Jr. from associating with any FINRA member firm in any capacity for commingling his customer’s funds with his own personal funds.

Contact Information