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Articles Tagged with lien

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that North Dakota-based Capital Financial Services broker Robert Labonte has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Labonte (CRD# […]

Public records published by the Financial Industry Regulatory Authority on July 6, 2016 indicate that Louisiana-based Stifel Nicolaus broker/adviser James Cox has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Cox (CRD# 2365633). James Cox has spent 22 years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Illinois-based Morgan Stanley broker Brian Sak 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. Sak (CRD# 3259830). […]

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