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Articles Tagged with new york stock fraud attorneys

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Transamerica Financial Advisors broker/adviser William Byrd (CRD# 1334634). William Byrd has spent thirty years in the securities industry and has been registered with Transamerica Financial Advisors in Tampa, Florida since 2001. Previous registrations include Pruco […]

RBC Capital Markets was fined $1 million dollars on April 23, 2015 for failing to supervise brokers who were selling unsuitable reverse convertibles to customers. According to the Letter of Acceptance, Waiver and Consent (AWC) RBC Capital Markets failed to detect the sale of 364 reverse convertible transactions to approximately 218 RBC Capital Markets customers. […]

The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have lost money investing in CNL Lifestyle Properties, a nontraded Real Estate Investment Trust (REIT) [add link to REIT], offered to investors through various broker-dealer firms.

Fitapelli Kurta, New York City based stock fraud attorneys, are investigating tenant in common (TIC) investments sold by William S. Sheehan, a registered broker with DFPG Investments.

The securities and investment fraud law firm, Fitapelli Kurta, is investigating claims from customers who have lost money investing with Cushing Royalty & Income Fund investments at the recommendation of Stifel Nicolaus or one of their brokers.

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