Posts by Fitapelli Kurta
Bill Burks Embroiled in Allegations of Misrepresentation
Bill Burks (CRD #: 2944992), a broker registered with Centaurus Financial, is involved in an investor dispute, according to his BrokerCheck record, accessed on May 10, 2021. On February 18, 2021, an investor alleged that Bill Burks misrepresented certain investments and that the investments had not performed as anticipated. There is another fairly recent dispute…
Read MoreDavid Park of Cambridge Investment is Facing Allegations Following Risky Alternative Investments
David Park (CRD #: 4388516), a broker registered with Cambridge Investment Research in La Canada, California, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 24, 2021. David Park also offers advisory services through Nettworth Financial Group. On February 26, 2021, an investor alleged that Park had sold them unsuitable,…
Read MoreChristopher Carolan Involved in Allegations of Unauthorized Trading
Christopher Carolan (CRD #: 4402629), a broker registered with Kingswood Capital Partners in San Diego, California, is involved in a dispute regarding unauthorized trading, according to his BrokerCheck record, accessed on February 23, 2021. He is also a registered investment adviser with Dimensions Wealth Management. On January 13, 2021, an investor alleged that Christopher Carolan…
Read MoreAaron Turner: Investor Alleged Unsuitable Energy Security Recommendation
Aaron Turner (CRD #: 2252485), a broker registered with Ameriprise in Batavia, Illinois, is involved in a dispute regarding energy investments, according to his BrokerCheck record, accessed on January 28, 2021. On November 30, 2020, an investor alleged that Aaron Turner recommended unsuitable, high-commission investments in energy securities. The investor is seeking $50,000; the dispute…
Read MoreDennis 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 More