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churned account

Whistleblowers Allege Wells Fargo Advisers Pushed Investors on High-Fee Products

By Fitapelli and Kurta | August 2, 2018

A July 27, 2018 article by the Wall Street Journal reports that a number of Wells Fargo financial advisers have sent letters to regulatory authorities alleging “longstanding problems with the bank’s dealing with wealth-management customers,” including sales goals that incentivized advisers to direct clients to invest in higher-fee products or to move assets between products…

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Mitchell Silverman: Investors Allege Misrepresentation, Fraud, Churning

By Fitapelli and Kurta | July 25, 2018

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Florida-based Raymond James Financial Services broker/adviser Mitchell Silverman has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Silverman (CRD# 500504). Mitchell Silverman has spent 42 years in…

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Robert Yasnis: Investors Allege Churning, Unauthorized Trading by Worden Broker

By Fitapelli and Kurta | July 23, 2018

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that New York-based Worden Capital Management broker Robert Yasnis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yasnis (CRD# 70411). Robert Yasnis has spent 22 years…

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Lawrence Delhagen: Investors Allege Fraud, Churning, Negligence by Stifel Nicolaus Rep

By Fitapelli and Kurta | July 17, 2018

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Lawrence Delhagen has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delhagen (CRD# 2779312). Lawrence Delhagen has spent 21 years in…

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Christopher Kane: Investor Complaint Alleges Unauthorized Trades, Churning

By Fitapelli and Kurta | July 17, 2018

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Connecticut-based National Securities Corporation broker Christopher Kane has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kane (CRD# 5486515). Christopher Kane has spent seven years in the…

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Michael Rosalia: Allegations of Churned Investments

By Fitapelli and Kurta | June 19, 2018

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that New York-based Worden Capital Management broker Michael Rosalia has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosalia (CRD# 2323953). Michael Rosalia has spent 24 years in…

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Customer Alleges Laurence Greene Churned Their Account and Effected Excessive Puerto Rico Bonds

By Fitapelli and Kurta | May 30, 2018

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 28, 2018 indicate that former Florida-based Herbert J. Sims & Company broker Laurence Greene, who has received pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding…

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John Prinzivalli Has Multiple Complaints Regarding Churned Investments

By Fitapelli and Kurta | May 24, 2018

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Cape Securities broker John Prinzivalli is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Prinzivalli (CRD# 4185256). John Prinzivalli has spent sixteen years in the…

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