churned account
Whistleblowers Allege Wells Fargo Advisers Pushed Investors on High-Fee Products
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…
Read MoreMitchell Silverman: Investors Allege Misrepresentation, Fraud, Churning
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…
Read MoreRobert Yasnis: Investors Allege Churning, Unauthorized Trading by Worden Broker
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…
Read MoreLawrence Delhagen: Investors Allege Fraud, Churning, Negligence by Stifel Nicolaus Rep
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…
Read MoreChristopher Kane: Investor Complaint Alleges Unauthorized Trades, Churning
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…
Read MoreMichael Rosalia: Allegations of Churned Investments
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…
Read MoreCustomer Alleges Laurence Greene Churned Their Account and Effected Excessive Puerto Rico Bonds
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…
Read MoreJohn Prinzivalli Has Multiple Complaints Regarding Churned Investments
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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