Tag Archives: Unsuitability

Atul Makharia Customer Disputes Allege Unsuitability

Posted on December 29, 2018 by lawhukukinet

Atul Makharia (CRD #5070762) is a registered broker currently employed with Centaurus Financial, Inc. (CRD #30833) of Lexington, SC. Makharia’s previous employers are J.P. Turner & Company, L.L.C. (CRD #43177), Gunnallen Financial, Inc. (CRD #17609), and First Allied Securities, Inc. … Continue reading →

Posted in Securities Law | Tagged , , , , , | Leave a comment

Mitchell Rock: Investors Allege Unsuitability, Misrepresentation by Wells Fargo Rep

Posted on August 23, 2018 by lawhukukinet

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2018 indicate that New York-based Wells Fargo Clearing Services broker/adviser Mitchell Rock has been involved in customer disputes. Fitapelli Kurta is interested in hearing from … Continue reading →

Posted in Securities Law | Tagged , , , , , , , | Leave a comment

Jerry Michna: Investor Seeks $250,000 In Unsuitability Complaint

Posted on August 21, 2018 by lawhukukinet

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that Ohio-based Cetera Advisor Networks broker/adviser Jerry Michna has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in … Continue reading →

Posted in Securities Law | Tagged , , , , , , | Leave a comment