Posts Tagged ‘Unauthorized trades’
Guil Nergard: Investor Alleges Unauthorized Trades
Guil Nergard (CRD #: 2360614), a broker registered with Raymond James & Associates, has racked up a fourth investor dispute, according to his BrokerCheck record, accessed on November 30, 2020. Below is a description of the disclosures on Mr. Nergard’s BrokerCheck. On October 13, 2020, a client alleged that Mr. Nergard executed unauthorized and excessive…
Read MoreChristian Herrera Has Regulatory Sanction
Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 4158466).…
Read MoreGeoff Cambal Sanctioned by State of Massachusetts
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Massachusetts-based NBC Securities broker Geoff Cambal has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cambal (CRD# 2494445). Geoff Cambal has spent…
Read MoreBroker Spotlight: Raymond Clark (Woodstock Financial Group)
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Woodstock Financial Group broker Raymond Clark has received several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 2865619). Raymond Clark has spent…
Read MoreDaniel Rebmann Has Customer Complaints
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based UBS Financial Services broker/adviser Daniel Rebmann has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rebmann (CRD# 2254569). Daniel…
Read MoreBroker Spotlight: Charles Phelps
Public records published by the Financial Industry Regulatory Authority (FINRA) on July 26, 2016 indicate that Kentucky-based JJB Hilliard broker/adviser Charles Phelps 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. Phelps (CRD# 2335942). Charles Phelps has…
Read MoreRalph Ward (Morgan Stanley) Has Pending and Settled Complaints
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Morgan Stanley broker/adviser Ralph Ward has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ward (CRD# 3245599). Ralph…
Read MoreBroker Spotlight: Jonathan Peskin
Public records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Florida-based National Securities broker Jonathan Peskin 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. Peskin (CRD# 1251889). Jonathan Peskin has…
Read MoreBroker Spotlight: Howard Lee (Morgan Stanley)
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Lee is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lee (CRD# 305269). Howard Lee…
Read MoreBrian Stevenson (Wells Fargo) Has Unsuitability Complaints
Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that Ohio-based Wells Fargo broker/adviser Brian Stevenson has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stevenson (CRD# 1854798). Brian Stevenson…
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