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Articles Tagged with negligence

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

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 […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

John Holland (CRD#: 2538118), a registered representative with Summit Brokerage Services, Inc. in Charleston, West Virginia, is currently involved in a pending dispute in which a client alleges “negligence and breach of fiduciary duty,” according to his BrokerCheck report accessed on August 12, 2019. The claim was filed on May 24, 2019 and the client […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that South Dakota-based Arete Wealth Management broker/adviser Dennis Thurman has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurman (CRD# 2342398). Dennis Thurman has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Vermont-based UBS Financial Services broker/adviser Thomas Cosinuke 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. Cosinuke (CRD# 704650). Thomas […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Oregon-based Concorde Investment Services broker Frank Dunn 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. Dunn (CRD# 1075960). Frank […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that North Carolina-based Thompson Davis & Company broker/adviser Charles Obryant has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Obryant (CRD# […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that North Carolina-based Ameriprise Financial Services broker/adviser Carmen Lance, also known as Carmen Smith, 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Florida-based National Securities broker Melvin “Dutch” Stoutenburg 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. Stoutenburg (CRD# 2949175). […]

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