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Articles Tagged with unsuitable recommendations

Rusty Tweed (CRD#: 2339324), a registered representative with Cabot Lodge Securities, LLC in San Marino, California who does business as Tweed Financial Services (CRD#: 159712) is currently involved in several customer disputes, including one in which a client alleges that Rusty Tweed misrepresented investments and recommended unsuitable investments, according to his BrokerCheck report accessed on […]

Michael Sims (CRD#: 1034180), formerly a registered representative with Wedbush Securities in Santa Rosa, California, is currently involved in a $250,000 customer dispute.  A client, who filed the dispute on August 13, 2019, alleges “excessive trading, inappropriate investments, mismanagement of account, excessive commissions and lack of supervision,” according to Michael Sims’ BrokerCheck record accessed on […]

Darren Kubiak (CRD#: 1239086), a registered representative with Kalos Capital who does business as Kubiak Financial Services, is currently involved in two pending customer disputes involving unsuitable investments, according to his BrokerCheck record accessed on August 27, 2019. One dispute involves his recommendation of GPB Funds. In a claim filed on July 12, 2019, a […]

Bob Weissbein (CRD#: 1089065), a registered representative with First Allied Securities, Inc. of Davie, Florida who does business as Complete Financial Inc., is currently involved in a dispute in which a client alleges he recommended unsuitable investments, breached his fiduciary duty, and engaged in negligence, according to his BrokerCheck record accessed on August 22, 2019. […]

Matthew Siliato (CRD#: 5062153), who is not currently affiliated with a firm, was recently suspended by FINRA. The suspension lasted from June 12, 2019 to June 20, 2019, according to his BrokerCheck record accessed on August 8, 2019. He “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a […]

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 […]

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