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Articles Tagged with fraud

David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019.  The claimant is requesting $700,000 in damages. This was preceded by a claim filed on […]

Scott Andersen (CRD#: 4412679) is a registered representative with Wedbush Securities (CRD#: 877) who serves as Vice President, Investments at Wedbush Securities in Roseville, California. He is involved in a pending civil complaint for conversion and fraud filed on February 2, 2019, according to his BrokerCheck report accessed on August 12, 2019. This complaint was […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla 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 investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Minnesota-based Dougherty & Company broker John Wilson has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wilson (CRD# 721168). John […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Colorado-based Mid-Atlantic Capital broker/adviser Craig Hayward 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. Hayward (CRD# 2475334). Craig Hayward […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 9, 2016 indicate that former California-based LPL Financial broker Raymond Schmidt has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested […]

Publicly available records provided by the US Justice Department on May 9, 2016 indicate that Florida-based Legend Securities broker Maroof Miyana has been indicted on fraud charges. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miyana (CRD# 4513966). Maroof Miyana has spent 13 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and US Justice Department on May 9, 2016 indicate that Florida-based Legend Securities broker Maroof Miyana has received a customer complaint and has been indicted in federal court. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 6, 2016 indicate that former Florida-based Newbridge Securities broker Gerald Cocuzzo 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 2, 2016 indicate that New York-based LPL Financial broker/adviser Douglas Flynn has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flynn (CRD# 1952114). […]

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