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free case evaluation : 877.238.4175 tap here to call us securities law attorneys blog published by fitapelli | kurta navigation home website about us current investigations process recent cases contact us securities law attorneys blog stock fraud claims products press published on: july 25, 2018 finra orders wells fargo advisors to pay $8.6 million over puerto rico bond investments by fitapelli kurta news reports by financial advisor iq , the los angeles times, and other outlets indicate that the financial industry regulatory authority (finra) has ordered wells fargo advisors to pay a sum of more than $8 million dollars to the former chief executive officer of officemax, the office supplies chain, in connection to puerto rico bond investments. according to the los angeles times, the former officer, sam duncan, in 2016 sued wells fargo and its broker marc rogers over the sales of puerto rico bonds which he alleged were unsuitable for his investment profile. he also alleged that mr. rogers declined to abide by the firm’s own analysis of puerto rico bonds as unsuitable for conservative investment profiles. mr. rogers’ bonds were held by a trust established for his children, according to his times, citing his attorney, who said: ““rogers knew this was a trust — knew this was money to be invested for future generations… it didn’t take a rocket scientist to know these were risky investments.” in connection with mr. rogers’ lawsuit, a panel of finra arbitrators determined that mr. rogers and wells fargo advisors owe mr. duncan $4.2 million to cover his losses, as well as millions in interest, punitive damages and other costs amounting to $8.6 million. a representative of wells fargo advisors told the times, “we disagree with the award and we are researching our options.” mr. duncan’s lawsuit also named mr. rogers’ former firm, rbc capital markets, which paid a settlement of $25,000 in may. continue reading → by fitapelli kurta posted in: finra complaint and puerto rico bonds tagged: finra and wells fargo advisors published on: july 25, 2018 updated: july 25, 2018 3:51 pm published on: july 25, 2018 robert cleary: investor seeks $300,000 in complaint against stifel nicolaus broker by fitapelli kurta public records provided by the financial industry regulatory authority (finra) and accessed on july 24, 2018 indicate that new york-based stifel nicolaus & company broker robert cleary has been involved in resolved or pending customer disputes. fitapelli kurta is interested in speaking to investors who have complaints regarding mr. cleary (crd# 1505792). robert cleary has spent 32 years in the securities industry and has been registered with stifel nicolaus & company in new york, new york since 2007. previous registrations include ryan beck & company in new york, new york (2002-2007); gruntal & company in new york, new york (1993-2002); and lehman brothers in new york, new york (1986-1993). he has passed two securities industry examinations: series 63 (uniform securities agent state law examination), which he obtained on july 31, 1986, and series 7 (general securities representative examination), which he obtained on july 19, 1986. he is a registered broker with 25 us states and territories: arizona, arkansas, california, colorado, connecticut, illinois, iowa, maryland, massachusetts, michigan, minnesota, missouri, new hampshire, new jersey, new mexico, new york, north carolina, ohio, pennsylvania, rhode island, texas, utah, virginia and wisconsin. according to his brokercheck report , he has received one customer complaint and one pending customer complaint. continue reading → by fitapelli kurta posted in: customer complaints tagged: robert cleary and stifel nicolaus & company published on: july 25, 2018 updated: july 25, 2018 3:46 pm published on: july 25, 2018 new customer complaint filed against ameriprise’s michael pepe: investor seeks $750,000 by fitapelli kurta public records provided by the financial industry regulatory authority (finra) and accessed on july 24, 2018 indicate that florida-based ameriprise financial services broker/adviser michael pepe has received a new pending customer complaint. fitapelli kurta is interested in hearing from investors who have complaints regarding mr. pepe (crd# 1172861). michael pepe has spent 3 years in the securities industry and has been registered with ameriprise financial services in tampa, florida since 2015. previous registrations include jhs capital advisors in tampa, florida (2010-2015); gunnallen financial in tampa, florida (2007-2010); ubs financial services in tampa, florida (1994-2007); smith barney in new york, new york (1990-1994); and jb hanauer & company in parsippany, new jersey (1983-1990). he has passed three securities industry examinations: series 65 (uniform investment adviser law examination), which he obtained on december 29, 2016; series 63 (uniform securities agent state law examination), which he obtained on june 1, 1984; and series 7 (general securities representative examination), which he obtained on september 17, 1983. he is a registered broker and investment adviser with ten us states and territories: arizona, colorado, florida, georgia, kentucky, new york, north carolina, oregon, south carolina, and washington. according to his brokercheck report , he has received three customer complaints, one pending customer complaint, and two customer complaints that were closed or denied. continue reading → by fitapelli kurta posted in: customer complaints tagged: ameriprise financial services and michael pepe published on: july 25, 2018 updated: july 25, 2018 3:35 pm published on: july 25, 2018 mitchell silverman: investors allege misrepresentation, fraud, churning by fitapelli kurta publicly available records published by the financial industry regulatory authority (finra) and accessed on july 24, 2018 indicate that florida-based raymond james financial services broker/adviser mitchell silverman has received several customer disputes. fitapelli kurta is interested in speaking to investors who have complaints regarding mr. silverman (crd# 500504). mitchell silverman has spent 42 years in the securities industry and has been registered with raymond james & associates in boca raton, florida and snowmass village, colorado since 2002. he was previously registered with jb hanauer & company in parsippany, new jersey (1976-2002). he has passed six securities industry examinations: series 63 (uniform securities agent state law examination), which he obtained on december 30, 1993; series 31 (futures managed funds examination), which he obtained on february 1, 2005; series 7 (general securities representative examination), which he obtained on december 15, 1979; series 1 (registered representative examination), which he obtained on february 3, 1977; series 53 (municipal securities principal examination), which he obtained on march 22, 1982; and series 24 (general securities principal examination), which he obtained on december 28, 1981. he is a registered broker and investment adviser with 37 us states and territories. according to his brokercheck report , he has received four customer complaints. continue reading → by fitapelli kurta posted in: churned account , customer complaints and fraud tagged: mitchell silverman and raymond james financial services published on: july 25, 2018 updated: july 25, 2018 3:30 pm published on: july 23, 2018 frank zito: investor seeks $571,000 in selling away complaint by fitapelli kurta public records published by the financial industry regulatory authority (finra) and accessed on july 23, 2018 indicate that mississippi-based merrill lynch broker/adviser frank zito has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. fitapelli kurta is interested in speaking to investors who have complaints regarding mr. zito (crd# 2766336). frank zito has spent 21 years in the securities industry and was most
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Domain Name: SECURITIESLAWATTORNEYS.NET
Registry Domain ID: 1672374418_DOMAIN_NET-VRSN
Registrar WHOIS Server: whois.godaddy.com
Registrar URL: http://www.godaddy.com
Updated Date: 2017-10-10T22:05:36Z
Creation Date: 2011-08-17T00:41:12Z
Registry Expiry Date: 2022-08-17T00:41:12Z
Registrar: GoDaddy.com, LLC
Registrar IANA ID: 146
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Name Server: NS-1296.AWSDNS-34.ORG
Name Server: NS-1947.AWSDNS-51.CO.UK
Name Server: NS-486.AWSDNS-60.COM
Name Server: NS-750.AWSDNS-29.NET
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REGISTRAR GoDaddy.com, LLC
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SERVER net.whois-servers.net
ARGS domain =securitieslawattorneys.net
PORT 43
TYPE domain
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NAME securitieslawattorneys.net
CHANGED 2017-10-10
CREATED 2011-08-17
STATUS
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NS-486.AWSDNS-60.COM 205.251.193.230
NS-750.AWSDNS-29.NET 205.251.194.238
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