Carl Gill: Investor Seeks to Recover Six-Figure Losses

Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in a six-figure dispute according to his Investment Adviser Public Disclosure record, accessed on May 13, 2021. This is his second investor dispute of 2021. On March 12, 2021, an investor alleged that Carl Gill engaged in negligence and misrepresented…

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Roderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy

Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick Lispey’s conduct as a broker, keep reading for more details about his disclosures. On August 11,…

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

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 report accessed on October 2, 2019. A client, who filed a complaint on August 9, 2019, alleges that Yvonne Silguero engaged in “negligence, gross negligence,…

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George Strnad, of Morgan Stanley, Involved in $750,000 Customer Dispute

George Strnad (CRD#: 1635225), a registered representative with Morgan Stanley (CRD#: 149777) in Monarch Beach, California, is currently involved in a $750,000 customer dispute, according to his BrokerCheck record accessed on January 20, 2020. Clients allege that George Strnad misrepresented investments. This dispute is not the only disclosure on George Strnad’s BrokerCheck record. On November…

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Trevor Wurtzebach of JP Morgan Has Settled Complaints

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Illinois-based JP Morgan broker/adviser Trevor Wurtzebach has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wurtzebach (CRD# 5134519). Trevor Wurtzebach…

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Stephen Brown Named in FINRA Investigation

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Stephen Brown is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD#…

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Arlon Enmeier Has Customer Complaints

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Securities America broker/adviser Arlon Enmeier has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Enmeier (CRD# 1000999). Arlon Enmeier…

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Eric Sparling Discharged from JPMorgan

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based Investment Professionals broker/adviser Eric Sparling has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sparling (CRD# 2575062). Eric Sparling…

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Samuel Herbert Has Variable Annuity Complaints

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Louisiana-based NYLife Securities broker/adviser Samuel Herbert has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herbert (CRD# 2679181). Samuel…

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Carlo Corzine Sanctioned by FINRA

Public records published by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Dawson James Financial broker Carlo Corzine is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Corzine (CRD# 1928723). Carlo…

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