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Articles Tagged with unsuitable recommendations

Chuck Laubach (CRD#: 1097453), a 36-year veteran of the securities industry whose career spans seven firms and who is currently registered with Capital Portfolio Management in Timonium, Maryland, entered into an AWC on June 20, 2019 in which he consented to a ten-day suspension by FINRA for effecting discretionary transactions without proper authorization, according to […]

Charles Kerker (CRD#: 1317057), a 34-year veteran of the securities industry whose experience spans three firms, was terminated from Next Financial Group, Inc. of Cohoes, New York on June 18, 2019 due to “failure to adequately respond to a compliance inquiry regarding equity transactions in 12 customer accounts. Specifically, the date and time that clients […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Alabama-based Morgan Stanley broker/adviser Stephen Daughdrill 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. Daughdrill (CRD# 823423). Stephen […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Maryland-based H. Beck broker/adviser James Dresselaers has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dresselaers (CRD# 1106109). James […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding energy investments made with California-based Wells Fargo Advisors broker/adviser Margo Fragnito (CRD# 2438311). Marco Fragnito has spent 22 years in the securities industry and has been registered with Wells Fargo Advisors in Laguna Hills, California since […]

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 published by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that Washington DC-based Morgan Stanley broker/adviser Peter Doyle is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Doyle (CRD# 2370593). […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 6, 2016 indicate that New Jersey-based Janney Montgomery Scott broker/adviser Christopher DiGregorio has received a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. DiGregorio (CRD# 2754779). Christopher DiGregorio has spent 16 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Florida-based IFS Securities broker Rick Frueh 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that California-based Wells Fargo Advisors broker/adviser Charles Frieda is the subject of a dozen 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. […]

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