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Articles Tagged with Margin

Nate Clay (CRD#: 4525541), who formerly worked as a broker for Laidlaw & Company (UK) Ltd. (CRD#: 119037), has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 27, 2020.  On March 18, 2020, Nate Clay failed to respond to FINRA’s request for information. As a result, […]

Dan King (CRD#: 5954543), a registered representative with Benchmark Investments, Inc. (CRD#: 103792) in New York, New York, is currently in a pending customer dispute in which a client is seeking over $3 million in damages, according to his BrokerCheck record accessed on April 2, 2020.  On February 3, 2020, a customer filed a complaint […]

Jeff Vanover (CRD#: 4813059), a registered representative with Hilltop Securities Inc. (CRD#: 6220) in Lufkin, Texas, is currently involved in an $800,000 customer dispute over an equity security, according to his BrokerCheck record accessed on January 20, 2020. On December 9, 2019, clients alleged that Jeff Vanover provided poor investment advice from May 2018 to […]

Mark Wetherell (CRD#: 1373405), a 34-year veteran of the securities industry, has been discharged from Kovack Securities, Inc. of Summerville, South Carolina after he allegedly borrowed money from a client and failed to repay it in full, according to his BrokerCheck report accessed on September 25, 2019. Mark Wetherell, who does business as Wetherell Capital […]

Joseph Andreoli (CRD#: 1718688), a registered representative with Raymond James & Associates, Inc. in Hackensack, New Jersey, became involved in a customer dispute on August 26, 2019 in which a client alleges that he “made unsuitable investments,” according to his BrokerCheck record accessed on September 17, 2019. The dispute is pending. This is not the […]

Eric Niedermeyer (CRD#: 1680870), a registered representative with Wells Fargo Advisors Financial Network in Portland, Oregon, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on August 13, 2019. In the dispute, filed on May 20, 2019, a client “alleges the Bank of America Class B warrants were misrepresented and […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Legend Securities broker William Brown has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 5774557). William […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Connecticut-based RBC broker/adviser Irwin Maisner has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maisner (CRD# 1094089). Irwin Maisner […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Florida-based Oppenheimer & Company broker/adviser Timothy Atyeo 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. Atyeo (CRD# 1544728). Timothy […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2016 indicate that Florida-based HD Vest Investment Services broker/adviser Jeffrey Olson has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olson (CRD# […]

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