Daniel Lauletta (CRD #: 2659123), a broker registered with MML Investors Services, is facing investor allegations that he utilized deceptive sales tactics, according to his BrokerCheck record, accessed November 30, 2020. In fact, there are multiple disclosures related to unsuitable investment recommendations on his record. On October 13, 2020, a client alleged that Daniel Lauletta…

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Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick von Lipsey’s conduct as a broker, keep reading for more details about his disclosures. On August…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a customer complaint, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horseman (CRD# 851636). John Horseman has spent 34 years in…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Michigan-based Investment Planners broker/adviser James Parrelly has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parrelly (CRD# 728368). James Parrelly has spent 37 years in the…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Pennsylvania-based Fortune Financial Services broker/adviser Jonathan Freeze, who is currently not affiliated with any broker-dealer firm, has received numerous pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Freeze…

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