Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Moe Azizi, Registered Rep with Centaurus Financial, Involved in Customer Dispute Over Unsuitable Investments

November 27, 2019
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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…

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Joseph Pratt, Former Pennsylvania Broker, Barred by FINRA for Alleged Insider Trading

November 27, 2019
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Joseph Pratt (CRD#: 719416), formerly a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793), has been barred by FINRA for alleged insider trading, according to his BrokerCheck report…

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Richard Pittman, Registered Rep with Cetera Advisors, Involved in $150,000 Dispute Over Suitability

November 6, 2019
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Richard Pittman (CRD#: 2845145), a registered representative with Cetera Advisors LLC in Memphis, Tennessee, is currently involved in a pending customer dispute in which a client alleges that Richard Pittman…

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Former Broker Kevin Fretz of South Windsor, Connecticut Terminated from LPL for Keeping Blank Forms Pre-Signed by Customers

November 6, 2019
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Kevin Fretz (CRD#: 4128808), a former registered representative with LPL Financial LLC (CRD#: 6413), was terminated from his job on September 12, 2019. According to his BrokerCheck report accessed on…

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Texas Financial Advisor Yvonne Silguero Involved in $500,000 Dispute Over Misrepresentation

October 10, 2019
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Yvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck…

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PeachCap Securities Broker David Miller Involved in $1.2 Million Dispute Over Investment Performance

October 10, 2019
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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…

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Houston, Texas Broker Maria Hendershott Involved in $175,000 Dispute Over Overconcentration

October 10, 2019
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Maria Hendershott (CRD#: 818681), a registered representative with Raymond James & Associates in Houston, Texas, is currently engaged in a customer dispute in which a client alleges “unsuitable investments, misrepresentations…

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Rob Burns of Cetera Advisor Networks Involved in $500,000 Dispute Over Alternative Investments

October 10, 2019
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Rob Burns (CRD#: 4066393), a registered representative with Cetera Advisor Networks in Greenwood Village, Colorado, is currently involved in a pending customer dispute in which a client alleges that Rob…

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Are My Investment Losses Covered by SIPC Insurance?

July 8, 2019
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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.

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KushCo Holdings Class Action

June 5, 2019
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Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in KushCo Holdings (OTC:KSHB) in connection to alleged securities law violations by KSHB. Fitapelli…

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