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Articles Tagged with negligence

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Tennessee-based Raymond James & Associates broker/adviser Joseph Zenker has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zenker (CRD# 2711588). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Arkansas-based Wilbanks Securities broker Andrew Hardie has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hardie (CRD# 1765110). Andrew […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that Michigan-based Ameriprise broker/adviser Jeffrey Rush has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rush (CRD# 1220200). Jeffrey Rush has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2016 indicate that Connecticut-based Source Capital Group broker David Yungkau has been the subject of several┬ácomplaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yungkau (CRD# 858417). David Yungkau […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Michigan-based Corecap Investments broker/adviser Larry Bullock has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bullock (CRD# 821591). Larry Bullock […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that New York-based Laidlaw & Company broker Peter Viglione has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Viglione (CRD# 4697621). Peter Viglione has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that Minnesota-based Ameriprise Financial Services broker/adviser David Tysk is the subject of a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tysk (CRD# 1782289). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Colorado-based Mid-Atlantic Capital broker/adviser Craig Hayward has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayward (CRD# 2475334). Craig Hayward […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that New York- and Connecticut-based Titus Rockefeller broker Richard Stoyeck has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stoyeck (CRD# 842122). Richard […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that former Ohio-based Fifth Third Securities broker Nathan Bartow is currently not registered with any state or firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bartow […]

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