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Articles Tagged with tax liens

Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to Jonathan Greer’s departure from Arete Wealth Management? While Jonathan […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based Investors Capital broker/adviser Scott Aabel has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aabel (CRD# 1493667). Scott Aabel […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Tennessee-based Woodbury Financial Services broker David Ross is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based LPL Financial broker/adviser Robert Cenko is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Public available records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne, who has been permanently barred from associating with firms that sell securities to the public, is the subject of a pending customer complaint. The securities and investment fraud law firm […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Ohio-based Stifel Nicolaus broker/adviser Stephen Hurtuk 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. Hurtuk (CRD# 848484). Stephen […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 10, 2016 indicate that Indiana-based Next Financial Group broker/adviser Faroud “Fred” Farhoumand has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints with Mr. Farhoumand (CRD# 727764). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that MKG Financial Group broker/adviser Mark Gaskill has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gaskill (CRD# 848103). Mark Gaskill has spent 38 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that Mississippi-based First Allied Securities broker William Chancellor, also known as Danny Chancellor, has been named in a FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2016 indicate that Missouri-based PFS Investments broker/adviser Ronald Robertson 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. Robertson (CRD# 1383216). Ronald […]

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