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Articles Tagged with SEC

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former Washington-based Independent Financial Group broker Gary Arford has been permanently barred from acting as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

According to a report published in the Wall Street Journal on June 21, 2016, the Securities and Exchange Commission (SEC) is preparing to take civil action against Merrill Lynch in connection to an investment called Strategic Return Notes that reportedly declined “as much as 95% in value and was marketed in a way that one […]

According to public records and the Los Angeles Times, energy developer SunEdison has filed for bankruptcy. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in SunEdison (NYSE: SUNE). In a report published on May 4th, 2016, the LA Times stated that the US-based […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2016 indicate that former Missouri-based AXA Advisors broker Michael Ott is the subject of a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ott (CRD# 5131748). Michael […]

Arizona-based Sagepoint Financial broker Frederick Fischer is the subject of denied customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Fischer (CRD# 2317795). Frederick Fischer has spent twenty years in the securities industry and has been registered with Sagepoint Financial in Chandler, […]

Oregon-based LPL Financial broker/adviser Brian Griffith is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Griffith (CRD# 1299530). Brian Griffith has spent thirty-one years in the securities industry and has been registered with LPL Financial in […]

California-based Merrill Lynch broker/adviser Michael Jones is the subject of 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. Jones (CRD# 2222919). Michael Jones has spent eighteen years in the securities industry and has been registered with Merrill Lynch […]

New York-based Wells Fargo broker Peter Cannava is the subject of a pending civil complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cannava (CRD# 4563820). Peter Cannava has spent thirteen years in the securities industry and has been registered with Wells Fargo […]

Minnesota-based Questar Capital Corporation broker/adviser Terry Sandvold is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sandvold (CRD# 1571926). Terry Sandvold has spent 29 years in the securities industry and has been registered with Questar […]

According to a release published by the Securities and Exchange Commission (SEC) on March 10, 2016, the SEC has filed fraud charges against Aequitas Management LLC and three of its investors. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Aequitas Management LLC. Aequitas Management […]

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