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Articles Tagged with Inc.

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 […]

Darren Kubiak (CRD#: 1239086), a registered representative with Kalos Capital who does business as Kubiak Financial Services, is currently involved in two pending customer disputes involving unsuitable investments, according to his BrokerCheck record accessed on August 27, 2019. One dispute involves his recommendation of GPB Funds. In a claim filed on July 12, 2019, a […]

Christopher Neston (CRD#: 2741497), a registered representative with Ausdal Financial Partners, Inc. in North Oaks, Minnesota, is involved in a pending customer dispute in which a client alleges that Christopher Neston “made unsuitable recommendations resulting in concentrated illiquid, alternative investments because they paid high commissions,” according to his BrokerCheck record accessed on August 15, 2019. […]

A 45-year veteran of the securities industry, Mark E. Jones (CRD#: 261512) is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Denver, Colorado. According to his BrokerCheck report accessed on August 15, 2019, he is currently involved in a pending dispute, filed on May 17, 2019, in which a client […]

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Cancer Genetics, Inc. (NASDAQ:CGIX) in connection to alleged violations of securities laws by CGIX. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Cancer Genetics, Inc. between March 23, 2017 and April […]

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Izea, Inc. (NASDAQ:IZEA) in connection to alleged violations of securities laws by IZEA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Izea, Inc. from May 15, 2015 until April 3, 2018. […]

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Funko, Inc. (NASDAQ: FNKO) in connection to alleged violations of securities laws by FNKO. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Funko, Inc. between October 29, 2018 and April 2, […]

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Gigamon, Inc. (NYSE: GIMO) in connection to alleged violations of securities laws by GIMO and certain of its officers. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Gigamon between October 27, […]

Broker-dealer firm, Cape Securities, Inc. was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) on May 5, 2015 for failing to supervise and prevent unsuitable investment recommendations and churning of customer accounts. According to the Letter of Acceptance, Waiver and Consent (AWC) from October 2011 through February 2013, Cape Securities, Inc.’s Manhattan branch sold […]

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