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Tag Archives: Complaints
Charles Stevens Subject to Multiple Customer Complaints Over Alternative Investments
Current D.H. Hill Securities, LLLP (D.H. Hill) broker Charles Stevens (Stevens) has been subject to four customer complaints and five tax liens. According to a BrokerCheck report many of the complaints concern alternative investments and direct participation products (DPPs) such … Continue reading
Posted in Securities Law
Tagged Alternative, Charles, Complaints, Customer, Investments, multiple, over, Stevens, Subject
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Sally Weger: Multiple Complaints Concerning Misrepresentation of Facts
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from … Continue reading
Posted in Securities Law
Tagged Complaints, Concerning, Facts, misrepresentation, multiple, Sally, Weger
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Mark Chamberlain Subject to Multiple Customer Complaints
The securities attorneys at Gana Weinstein LLP are investigating claims against First Allied Securities, Inc. (First Allied) broker Mark Chamberlain (Chamberlain). According to BrokerCheck records, Chamberlain has been subject to seven customer complaints and one regulatory action. The majority of the complaints … Continue reading
Posted in Securities Law
Tagged Chamberlain, Complaints, Customer, Mark, multiple, Subject
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Anthony Sica Subject to Multiple Regulatory Sanctions and Customer Complaints
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Anthony Sica (Sica) has been subject to three regulatory actions and nine customer complaints. Sica is currently registered with Joseph Gunnar & Co. LLC (Joseph Gunnar). The … Continue reading
Posted in Securities Law
Tagged Anthony, Complaints, Customer, multiple, Regulatory, sanctions, Sica, Subject
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Reynold Vaughan III Has Received Eight Customer Complaints and Three Regulatory Sanctions
Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based SW Financial broker Reynold Vaughan III has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who … Continue reading
Posted in Securities Law
Tagged Complaints, Customer, Eight, RECEIVED, Regulatory, Reynold, sanctions, Three, Vaughan
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