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Articles Tagged with REIT

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 July 18, 2016 indicate that Colorado-based Stifel Nicolaus & Company broker/adviser Barry Bruner 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. Bruner (CRD# 1565469). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Georgia-based Morgan Stanley broker/adviser Carl Pritchett III 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. Pritchett (CRD# 4289177). […]

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding West Virginia-based Cetera Advisors broker Donna Hines (CRD# 4275524). Donna Hines has spent fifteen years in the securities industry and has been registered with Cetera Advisors in Weston, West Virginia since 2013. Previous registrations include Investment […]

According to the Financial Industry Regulatory Authority (FINRA), Minnesota-based brokerage Cetera Investment Services has signed a letter of Acceptance, Waiver, and Consent (AWC Letter) settling allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Cetera Investment Services (CRD# 15340). Formed in Delaware […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Crown Capital Securities broker/adviser Larry Michaels (CRD# 4351477). Larry Michaels has spent fourteen years in the securities industry and has been registered with Crown Capital Securities since 2012. Previous registrations include J.P. Turner & Company […]

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Hawaii-based Ameriprise broker/adviser Jaysen Piche (CRD# 4797315). Jaysen Piche has spent eleven years in the securities industry and has been registered with Ameriprise Financial Services in Honolulu, Hawaii since 2004. Previous registrations include IDS Life Insurance […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Nevada-based Tricor broker/adviser Robert Keyes. Robert Keyes has spent seventeen years in the securities industry and has been registered with Tricor Financial, LLC in Las Vegas, Nevada since 2009. Previous registrations include Royal Alliance Associates in […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Ameriprise Financial Services broker Charles Hamowy (CRD# 2057981). Charles Hamowy has spent twenty-five years in the securities industry and has been registered with Ameriprise Financial Services in New York, New York since 1990. He […]

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Milwaukee-based Princor broker/adviser Roric Griffith. Roric Griffith has spent seventeen years in the securities industry and has been registered with Princor Financial ServicesĀ in Milwaukee, Wisconsin since 2005. Previous registrations include the O.N. Equity Sales Company in […]

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