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Articles Tagged with misrepresentation

Heather Weber (CRD#: 2911524), currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), is currently involved in a customer dispute in which a client alleges that Heather Weber recommended unsuitable investments and made misrepresentations, according to her BrokerCheck report accessed on October 23, 2019. The client, who filed the dispute […]

FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Bob Weissbein (CRD#: 1089065), a registered representative with First Allied Securities, Inc. of Davie, Florida who does business as Complete Financial Inc., is currently involved in a dispute in which a client alleges he recommended unsuitable investments, breached his fiduciary duty, and engaged in negligence, according to his BrokerCheck record accessed on August 22, 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 […]

Nancy Glassman (CRD#: 1734992), currently a registered representative with Morgan Stanley in New York, New York, is involved in a pending dispute in which a client is alleging unsuitability regarding a wrap account, according to her BrokerCheck record accessed on August 13, 2019. The complaint was filed on May 21, 2019 and the client is […]

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 […]

Matthew Siliato (CRD#: 5062153), who is not currently affiliated with a firm, was recently suspended by FINRA. The suspension lasted from June 12, 2019 to June 20, 2019, according to his BrokerCheck record accessed on August 8, 2019. He “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that Texas-based Global Investor Services broker/adviser Eduardo Alaman, also known as Eduardo Alamanpandal, 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. […]

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