If You’ve Joined A Class Action Securities Fraud Lawsuit Against GWG Holdings Can You Still Sue Your Broker? Our Broker Negligence Law Firm Represents GWG Investors Against Broker-Dealers At the end of March, the legal team for GWG Holdings told a Texas bankruptcy judge that it needed another two weeks to provide…
Northstar Financial Services (Bermuda) Were Unsuitably Recommended to Retirees and Seniors Over the past two years, our experienced investor loss attorneys have been astounded to discover how many US-based brokerage firms committed broker negligence by unsuitably recommending and selling Northstar (Bermuda) investments to foreign nationals seeking a safe haven for…
Why You Should Contact A Seasoned Retirement Loss Attorney Right Away Unfortunately, retirees and older investors are especially vulnerable to significant investment losses. This is why it is so important that your broker only markets products or investment strategies to you that are suitable for you given your investing profile,…
Ohio Financial Advisor Andrew Elsoffer Named in Multiple Customer Disputes Andrew Bruce Elsoffer, who Stifel, Nicolaus & Co. fired in 2018, is suspended by the Financial Industry Regulatory Authority (FINRA) for two years, beginning March 7, 2022. The suspension comes in the wake of customer allegations that he exercised discretion…
Corpus Christi Financial Advisor is Accused of Negligence, Misrepresentations Our Texas broker misconduct lawyers are looking into claims of losses by customers of Mark Alan Kemp, who is currently a McNally Financial Services registered representative. Mark Kemp, who has been in the industry for 30 years, has been named in…
Ohio Financial Advisor is Accused of Negligence and Unsuitability Daniel James Lauletta, an MML Investors Services stockbroker and investment advisor, is currently named in three pending customer disputes, including one in which the claimant is requesting $1M in damages. The Broadview, Ohio financial advisor has worked in the industry for…
Ex-New York Financial Advisor Has 15 Customer Disputes on BrokerCheck If you suffered investment losses while working with ex-Worden Capital Management stockbroker Allan Perry Montalbano, contact our New York financial advisor misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com). Montalbano, who is no longer a…
Unsuitability, Misrepresentations and Omissions Are Among the Other Allegations Ray Gene Reese, a Money Concepts Capital stockbroker and investment advisor based in Farmington, Missouri, is currently named in two pending Financial Industry Regulatory Authority (FINRA) arbitration claims seeking $600K in damages. Reese has been in the securities industry for 32…
Family Trust to Receive Compensatory Damages From Broker-Dealer In its Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates and former broker Paul Anthony Steffany, the Angelina J. Cuccaro Family Trusted was awarded $320K in compensatory damages. The claimant contends that it was the victim of broker…
Former National Securities Stockbroker Named in Over 12 Customer Disputes Thomas Edison Kelly, Jr., an Aegis Capital broker, has been the subject of a number of customer complaints between 2013 and 2020, three of which are still pending. Prior to working for Aegis Capital in 2018, Kelly was a National…