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Articles Tagged with securities fraud

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former Ohio-based Concorde broker/adviser Larry Werbel has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Werbel (CRD# 828351). Larry Werbel has spent […]

Publicly available records provided by the US Justice Department on May 3, 2016 indicate that former Florida-based Dawson James Securities broker Gerald Cocuzzo has been indicted on fraud and other charges. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cocuzzo (CRD# 4047511). Gerald […]

Publicly available records provided by the US Justice Department on May 3, 2016 indicate that former Florida-based Dawson James Securities broker Pranav Patel has been indicted on charges that include securities fraud, wire fraud, and money laundering. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in Highland Funds Energy Master Limited Partnerships (HEFAX). Continue Reading

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 […]

In December 2014, Leonid Yurovsky entered into a settlement with the Arkansas Securities Commissioner. According to the agreement, The Arkansas Securities Department alleged Leonid Yurovsky engaged in excessive trading and unsuitable securities sales while he was acting as an agent for two customers.

According to a recent article on MarketWatch.com, customers have asserted causes of action for unsuitability and failure to supervise. While the damages sought against Wells Fargo are not specified in the article, both Nancy Eckler and Kevin Wolf’s BrokerCheck Reports indicate an identical pending customer complaint from June 6, 2014. The customer is seeking $75,000 from Eckler and from Wolf each for unsuitable investments, given the customer’s age and risk tolerance.

A customer complaint is pending before the Financial Industry Regulatory Authority (FINRA) Dispute Resolution against Jamie S. Head. According to Jamie S. Head’s FINRA BrokerCheck Report, the customer has alleged “unsuitable investments in a managed account and variable annuity between June 2006 and February 2012”. The client is seeking $200,000 in damages. The customer complaint, which originated in May 2012 is still pending arbitration.

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