UBS Financial Services Will Pay $15 million To Settle With SEC

According to reports published on Reuters and elsewhere, UBS Financial Services has agreed to pay $15 million to settle charges by the Securities and Exchange Commission (SEC) involving sales practice violations. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding UBS Financial Services, especially if…

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ICON Capital Facing SEC Charges

According to publicly available records provided by the Securities and Exchange Commission, the SEC has taken civil action against ICON Capital LLC, formerly known as ICON Capital Corporation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding ICON Capital. According to the company’s website, ICON…

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SEC Action Against Fraudulent Ski Resort EB-5 Offerings

According to a release published in April 2016, the Securities and Exchange Commission (SEC) has announced fraud charges and an asset freeze against a Vermont-based ski resort and associated businesses. According to the SEC, the businesses allegedly misused “millions of dollars raised through investments solicited under the EB-5 Immigrant Investor Program.” The SEC named two…

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Broker Spotlight: Nicholas Curinga (Cetera Investment Services)

Pennsylvania-based Cetera Investment Services broker/adviser Nicholas Curinga III is the subject of one customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Curinga (CRD# 4786481). Nicholas Curinga has spent eleven years in the securities industry and has been registered with Cetera Investment…

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LPL Financial Broker Sharon Fall: Barred

Former Maryland-based International Assets Advisory broker Sharon Fall has been permanently barred from acting as a broker and discharged from International Assets Advisory. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fall (CRD# 2881765). Sharon Fall has spent sixteen years in the securities…

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Reid Malvin Faces Complaint for Unauthorized Trading

New Jersey-based National Securities Corporation broker/adviser Reid Malvin is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Malvin (CRD# 4550756). Reid Malvin has spent thirteen years in the securities industry and has been registered with National Securities…

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Michael Rasmovich Suspended by FINRA

Kentucky-based Waddell & Reed broker Michael Rasmovich is currently not registered with any state or firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rasmovich (CRD# 5388113). Michael Rasmovich has spent seven years in the securities industry and was most recently registered with…

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Broker Gary Graham Suspended from Securities Industry

California-based Calton & Associates broker/adviser Gary Graham was recently suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Graham (CRD# 2111230). Gary Graham has spent 24 years in the securities industry and has been registered with Calton & Associates in Huntington…

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Christopher Flaten Faces Pending Complaint

Former New York-based Credit Suisse Securities broker Christopher Flaten is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations against Mr. Flaten (CRD# 3255290). Christopher Flaten has spent fifteen years in the securities industry and was most recently registered with Credit Suisse Securities in…

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Sagepoint Financial Named in SEC Complaint

The Securities and Exchange Commission (SEC) has filed a complaint against Arizona-based brokerage/advisory firm Sagepoint Financial. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Sagepoint Financial (CRD# 133763). Formed in Delaware in 2004, Sagepoint Financial is headquartered in Phoenix, Arizona and registered with 53…

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