Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell
BBB Accredited Business

Articles Tagged with Real estate investment trusts

James Chang (CRD#: 4536266), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Rockville, Maryland who does business as Upright Planning, is currently involved in a customer dispute over unsuitable investment products, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a customer filed a complaint against James […]

Gen Mar (CRD#: 2744037), a registered representative with Berthel, Fisher & Company Financial Services, Inc. (CRD#: 13609) in Northbrook, Illinois, is currently involved in two pending customer disputes in which clients are requesting over $1.5 million damages, according to his BrokerCheck record accessed on March 3, 2020. On May 1, 2019, clients filed a customer […]

Bill Fox (CRD#: 1522234), a registered representative with First Allied Securities, Inc. (CRD#: 32444) in Austin, Texas, is currently involved in a customer dispute over non-traded real estate investment trusts (REITs), private placements, and annuities, according to his BrokerCheck record accessed on February 4, 2020. What happened to lead to this dispute? On November 15, […]

Gary Barth (CRD#: 2466996), a registered representative with Ameritas Investment Corp. (CRD#: 14869) in Kearney, Nebraska, is currently involved in a pending customer dispute in which clients are seeking $600,000 in damages, according to his BrokerCheck record accessed on January 16, 2020. The clients allege that Gary Barth misrepresented the nature of investments when selling […]

Mercer Hicks (CRD#: 245170), a registered representative with Southeast Investments, N.C., Inc., has found himself the subject of a Financial Industry Regulatory Authority (FINRA) complaint over Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 14, 2020. According to a December 20, 2019 complaint, FINRA is alleging that Mercer Hicks duped […]

JoePat Roop (CRD#: 2774470), a registered representative with Dempsey Lord Smith, LLC (CRD#: 141238) in Belmont, North Carolina, is currently involved in a customer dispute in which a client alleges that he recommended unsuitable alternative investments, including Real Estate Investment Trusts (REITs), according to his BrokerCheck record accessed on January 3, 2020. The activity in […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

Jeffrey Davis (CRD#: 2501354) is a broker affiliated with Kovacs Securities Inc. He does business as Davis Financial, LLC of Bristol, Connecticut. On June 10, 2019, he became involved in a pending customer dispute in which a client is alleging that he recommended unsuitable fixed index annuity and mutual funds, and overconcentrated REITs in her […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Colorado-based Geneos Wealth Management broker/adviser Joe Sturniolo has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sturniolo (CRD# 1094557). […]

According to publicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on February 18, 2016, Michigan and Texas-based IMS Securities broker/adviser Steven Knowlton is the subject of several pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Knowlton (CRD# 4527446). […]

Contact Information