Suitability
UBS Broker Patrick Donohue: Investors Allege Unsuitable Recommendations, Churning
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based UBS Financial Services broker/adviser Patrick Donohue has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Donohue (CRD# 1029917). Patrick Donohue has spent 36 years in…
Read MoreGeorge Hovany: Multiple Suitability Complaints From Investors
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Illinois-based Wayne Hummer Investments broker/adviser George Hovany has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hovany (CRD# 1188851). George Hovany has spent 34 years in the…
Read MoreSally Weger: Multiple Complaints Concerning Misrepresentation of Facts
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Weger (CRD# 2591057). Sally Weger has spent 23 years…
Read MoreBill Burks: Multiple Complaints Concerning Unsuitable Investments
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Texas-based Centaurus Financial broker/adviser William Burks II, also known as Bill Burks, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burks (CRD# 2944992). William…
Read MoreLon Faccini, Jr.: Customer Complaints Involving Churning and Unsuitable Investments
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Arive Capital Markets broker Lon Faccini, Jr. has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Faccini (CRD# 2736849). Lon Faccini has…
Read MoreAnthony Dacruz Has Received Several Customer Complaints
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Morgan Stanley broker/adviser Anthony Dacruz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dacruz (CRD# 1259435). Anthony Dacruz has spent 34 years in the…
Read MoreKenneth Byrne Customer Seeking $1 Million in Damages
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Janney Montgomery Scott broker/adviser Kenneth Byrne has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Byrne (CRD# 1191939). Kenneth Byrne has spent 34 years in the…
Read MoreMatthew Lawson Allegedly Violated FINRA Conduct Rules
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Tennessee-based Raymond James Financial Services broker/adviser Matthew Lawson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lawson (CRD# 2869619). Matthew Lawson has spent 20 years in…
Read MoreRobert Steck Allegedly Made Unsuitable Investments with Multiple Accounts
Public records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that New York-based Merrill Lynch broker/adviser Robert Steck has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steck (CRD# 1094342). Robert Steck has spent 35 years in the securities…
Read MoreDominick Diorio Subject of Multiple Customer Complaints
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2018 indicate that New York-based Aegis Capital Corporation broker Dominick Diorio is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Diorio (CRD# 2447817). Dominick Diorio has spent 21 years…
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