Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Customer Alleged Anthony O’Callaghan Made Investments That Resulted in “Significant Percentage Loss”

June 8, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 5, 2017 indicate that New York-based UBS Financial Services broker/adviser Anthony O’Callaghan has received several resolved or…

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Erick Kuebler Allegedly “Engaged in Unauthorized and Excessive Margin Trading.”

June 8, 2017
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that Texas-based Sanders Morris Harris broker/adviser Erick Kuebler has received resolved or pending customer…

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David Feigeles Has Resolved or Pending Customer Disputes

June 6, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that New York-based Oppenheimer & Company broker/adviser David Feigeles has received resolved or pending…

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Customer Alleged Sean McElduff Recommended Unsuitable Municipal Debt Bonds

May 9, 2017
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Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 5, 2017 indicate that New Jersey-based Hennion & Walsh broker Sean McElduff has received resolved or pending customer…

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Gary Deardorff Has Received Three Customer Complaints

May 8, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that Arizona-based National Planning Corporation broker/adviser Gary Deardorff has been the subject of resolved…

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Todd Feldman While Employed at UBS Allegedly Over-Concentrated a Customers Account

May 8, 2017
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Public records published by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that New York-based UBS Financial Services broker/adviser Todd Feldman has received a pending customer dispute.…

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Jonathan Freeze Has Been Sanctioned by FINRA

May 5, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that former Pennsylvania-based Fortune Financial Services broker/adviser Jonathan Freeze has been sanctioned by FINRA…

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James Blair Breached his Fiduciary Duty by Making Unauthorized Transactions

May 5, 2017
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Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that former California-based Raymond James Financial Services broker/adviser James Blair has been the subject of…

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Customer Seeking Approximately $2 Million in Damages From Broker Christine Abbott

May 5, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that New York-based UBS Financial Services broker/adviser Christine Abbott has been named in a…

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Kevin Griffin Receives Customer Complaint for Allegedly Churning a Customers Account

May 5, 2017
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Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that New York-based National Securities Corporation broker/adviser Kevin Griffin has been the subject of resolved…

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