Marty Batstone (CRD#: 2171601), formerly a registered representative with Newbridge Securities Corporation (CRD#: 104065) in San Diego, California, is currently under investigation by FINRA. On August 16, 2019, the Financial Industry Regulatory Authority, recommended that disciplinary action be brought against him. FINRA alleges that Marty Batstone violated FINRA Rules 2150 and 2010 by allegedly stealing […]
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 […]
Anthony “Tony” Frederick Hobson (CRD #: 4212302), a broker with Money Concepts Capital Corp. of Griffith, Indiana, is currently involved in a customer dispute regarding alternative investments, according to his BrokerCheck report accessed on July 31, 2019. In the complaint dated June 11, 2019, according to Anthony Frederick Hobson’s BrokerCheck report, “Customer alleges between April […]
Adam Lunceford (CRD#: 4686499), a 15-year veteran of the securities industry whose experience spans five firms, is currently a Scottsdale, Arizona-based registered representative with LPL Financial. He does business as the Householder Group. On June 26, 2019, he became involved in a customer dispute that alleged that he “disregarded the Claimant’s objectives by recommending that […]
Washington-based UBS Financial Services broker/adviser Lori Cousineau Weaver is the subject of a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Cousineau Weaver (CRD# 1731464). Lori Cousineau Weaver has spent 27 years in the securities industry and has been registered […]
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). […]
The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Rhode Island-based LPL broker/adviser James Joly, also known as Jim Joly (CRD# 2193463). James Joly has spent twenty-four years in the securities industry and has been registered with LPL Financial in East Greenwich, Rhode Island since 1996. He was previously […]
Fitapelli Kurta is interested in speaking to investors who have complaints regarding Crown Capital Securities or the following REITs: Grubb & Ellis Healthcare REIT, G-REIT, USA Self Storage REIT, CNL Senior Housing REIT, NNN Value Fund REIT, Inland Western REIT or Inland American REIT.
According to a recent article in InvestmentNews, Grant Thornton, one of the world’s leading auditing firms, has resigned from eight Real Estate Investment Trusts (REITs) all of which are managed by Nicholas Schorsch, including American Realty Capital. Grant Thornton gave no reason or explanation for this resignations.