Tag Archives: Customer

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

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Customer Alleges George Puliafico Breached Contract

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Massachusetts-based Raymond James Financial Services broker George Puliafico is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors … Continue reading

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Customer Alleges Ronald McCook Acted Grossly Negligent and Committed Fraud

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who … Continue reading

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Richard E. Poston-Former H. Beck Broker-Subject of $500K Customer Dispute Over REITs-Plano, TX

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018-Plano, Texas According to FINRA records, Richard E. Poston, a broker who is not currently employed in the industry, and who last worked for H. … Continue reading

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Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses 3 … Continue reading

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