Posts by Fitapelli Kurta
Dennis Karjanis Involved in 3rd Investor Allegation of Unsuitable Investment Recommendations
Dennis Karjanis (CRD #: 5280862), a broker registered with National Securities Corporation, has multiple pending investor disputes, according to his BrokerCheck record, accessed on January 8, 2021. All these disputes allege suitability rule violations – keep reading to learn more. FINRA requires that brokers only recommend investments that are suitable for their customers, taking into…
Read MoreDaniel Lauletta Investor Alleges Deceptive Sales Tactics in $1,000,000 Dispute
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…
Read MoreRoderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy
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…
Read MoreJeffrey Weiner, Pruco Registered Rep, Involved in Two Investor Disputes Over VULs
Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more. On May 19, 2020, a client alleged…
Read MoreChristopher Vining, Morgan Stanley Rep, Involved in Pending Investor Dispute
Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more. On May 29, 2020, a client filed an investor complaint…
Read MoreTimothy Millis: Ex-NYLife Rep Resigns Over Alleged Unsuitable Mutual Fund Switches
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…
Read MoreJames Bylenga: Ex-LPL Rep Barred by FINRA over Customer Loan Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in…
Read MoreEarl Midgette: LPL Rep Terminated Over Discretionary Trading Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2332439).…
Read MorePhilip Noto: $668,000 Pending Complaint Against Suspended Ex-First Standard Rep
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors…
Read MoreJohn Horseman: REIT Complaint Against LPL Rep
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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