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Sylvester Knox Suspended By FINRA Following State Regulatory Actions and Client Disputes Alleging Unauthorized Transactions
Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry Regulatory Authority (FINRA), according to his Investment Adviser Public Disclosure, accessed August 19, 2020. This was the latest on a substantial list of regulatory actions…
Read MoreChristopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint
Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory Authority (FINRA). Christopher Wurtzingeris also the subject of a client dispute regarding account churning, unauthorized trading, fraud, and breach of fiduciary duty, according to his…
Read MoreAndy Grant, of Laidlaw & Company (UK) Ltd., Suspended from the Securities Industry
Andy Grant (CRD#: 2709882), a registered representative with Laidlaw & Company (UK) Ltd. in Melville, NY (CRD#: 119037), has been suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on February 21, 2020. What happened to lead to Andy Grant’s suspension from the securities industry? On…
Read MoreMoe Azizi, Registered Rep with Centaurus Financial, Involved in Customer Dispute Over Unsuitable Investments
Moe Azizi (CRD#: 2154719), a broker with Centaurus Financial, is currently involved in a customer dispute over unsuitable investments, according to his BrokerCheck report accessed on October 24, 2019. If your broker recommended securities that were not suitable given your investment goals, you may have a suitability claim and might benefit from seeking the counsel…
Read MorePeachCap Securities Broker David Miller Involved in $1.2 Million Dispute Over Investment Performance
David Miller (CRD#: 4648882), a registered representative with PeachCap Securities, is currently involved in a $1.2 million dispute after a client, who filed the dispute on August 8, 2019, complained about investment performance, according to his BrokerCheck report accessed on October 2, 2019. The investments in question are Direct Participation Programs (DPPs) and limited partnerships…
Read MoreAre My Investment Losses Covered by SIPC Insurance?
What is covered by SIPC insurance? SIPC insurance may cover you in specific cases, but it’s important to know exactly what the Securities Investor Protection Corporation (SIPC) does and does not do.
Read MoreFINRA Fines Principal Securities $250,000 Over Alleged Supervisory Failures
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Iowa-based brokerage and advisory firm Principal Securities has received several customer disputes and regulatory events. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Principal Securities (CRD# 1137). Established in Iowa in 1968,…
Read MorePatrick Dever: Investors Allege Unsuitable, Speculative Investments by Stifel Nicolaus Rep
Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Patrick Dever has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dever (CRD# 2202204). Patrick Dever has spent 26 years in the…
Read MoreInvestigation: Morgan Stanley Adviser Sumitro Pal
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Sumitro Pal has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pal (CRD# 4763364). Sumitro Pal has spent 13 years in the securities…
Read MoreAdele Polakoff Has Been the Subject of a Pending State Regulatory Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Adele Polakoff has received a customer complaint and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Polakoff (CRD#…
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