Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Kirk Badii: Suitability Complaint Against UBS Rep

May 17, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending…

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Michael Murphy: $22.5 Million Complaint Against Columbus Advisory Group Rep

May 17, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that New York-based Columbus Advisory Group broker Michael Murphy has been named in…

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James Parrelly: $500,000 Complaint Against Investment Planners Rep

April 26, 2019
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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…

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Jonathan Freeze: Alternative Energy Holdings Complaints

April 26, 2019
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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…

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Robert Mueller: Suitability Complaint Against UBS Rep

March 18, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending…

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Neil Konigsberg: Pending Complaint Against UBS Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending…

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Neil Mehta: Investor Seeks $110,406 in Complaint Against Merrill Lynch, Ex-JP Morgan Rep

March 18, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Florida-based Merrill Lynch broker/adviser Neil Mehta, who has received a pending customer…

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Hayato Tamura: Investor Seeks $213,332 in Complaint Against JP Morgan Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based JP Morgan Securities broker/adviser Hayato Tamura has received a pending…

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Lawrence Greenfield: Suitability Complaint Against LPL, Ex-Arete Rep

March 18, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based LPL Financial broker/adviser Lawrence Greenfield has received a pending customer…

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Amos Katz: Insurance Complaint Against Morgan Stanley Rep

March 18, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Louisiana-based Morgan Stanley broker/adviser Amos Katz has received resolved or pending customer…

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