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Articles Tagged with terminated

Timothy E. Johnson  (CRD#: 5701828) was terminated from MML Investors Services, LLC in Lawrenceville, Georgia “in connection with an investigation into the registered representative’s diversion of customer funds for his own use” according to his BrokerCheck report accessed on September 3, 2019. When you invest with a broker, you expect that your portfolio will be […]

On July 9, 2019, UBS Financial Services Inc. terminated Ricardo Turlan (CRD#: 4431836). UBS found that he “exercised discretion in two client accounts without written authorization” and that his “trading in other accounts reached levels that could be considered qualitatively unsuitable (ROAs between 3.0 and 9.0 for a twelve month period).” Ricardo Turlan is not […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that Texas-based Global Investor Services broker/adviser Eduardo Alaman, also known as Eduardo Alamanpandal, has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that New York-based broker/adviser Daniel Goldschmidt was recently discharged from his position at Merrill Lynch. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldschmidt (CRD# 5043278). Daniel […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Merrill Lynch broker Michael Dowd is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that former Ohio-based Sigma Financial Corporation broker Herbert Frey is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that former Texas-based LPL Financial broker/adviser Bradley Church was recently discharged from his position at LPL. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Church (CRD# 4044195). Bradley […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Michigan-based WFG Investments broker/adviser Brian Branch was terminated from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Branch (CRD# 5087618). Brian Branch has spent […]

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