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…

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David 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,…

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Christopher 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…

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Aaron 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…

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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…

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Daniel 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…

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Roderick 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…

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Timothy 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…

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