July 3, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Thomas Beattie, a Financial Advisor at Dakota Securities in Miami, FL. Thomas Beattie first entered the securities industry in 1975 and previously worked at four brokerage firms that have since been barred by FINRA. According to publicly available records released by the Financial Industry Regulatory […]
July 3, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Abraham Biderman, a former Financial Advisor at Palladium Capital Advisors, LLC in New York, NY. Abraham Biderman first entered the securities industry in 1990 and previously worked for Lipper Convertibles Series II, LLP, Lipper & Co. and Lipper Convertibles, LP. According to publicly available records […]
July 3, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Bradley Tennison, a former Financial Advisor at Geneos Wealth Management, Inc. in Mesa, Arizona. Bradley Tennison first entered the securities industry in 1992 and previously worked for Oberlin Financial Corp. and First Allied Securities. According to publicly available records released by the Financial Industry Regulatory […]
July 2, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Jim Rhodes and Marilyn Zehntner, Financial Advisors at Rhodes Securities in Fort Worth, Texas. Jim Rhodes first entered the securities industry in 1975 and Marilyn Zehntner entered the securities industry in 2000. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]
July 2, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Donna Barnard, a former Financial Advisor at HD Vest Investment Services in Kilgore, Texas. Donna Barnard first entered the securities industry in 2004 and previously worked for Signal Securities and Woodmen Financial Services According to publicly available records released by the Financial Industry Regulatory Authority […]
July 2, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Jerry Raines, a former Financial Advisor at HD Vest Investment Services in Kilgore, Texas. Jerry Raines first entered the securities industry in 2004 and previously worked for Signal Securities and Woodmen Financial Services According to publicly available records released by the Financial Industry Regulatory Authority […]
July 2, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Dominic Diorio, a Financial Advisor at Aegis Capital in Melville, NY. Aegis Capital first entered the securities industry in 1996 and previously worked for several brokerage firms that have since been expelled by Financial Industry Regulatory Authority (FINRA), including Global Arena Capital Corp., Prestige Financial […]
July 2, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Heath Bowen, a Financial Advisor at Allegis Investment Services, LLC in Idaho Falls, Idaho. Heath Bowen first entered the securities industry in 2004 and previously worked for Signator Financial Services and LPL Financial. According to publicly available records released by the Financial Industry Regulatory Authority […]
July 2, 2018
Investment related misconduct comes in many forms. It can be out in the open and flagrant but most often it is concealed and subtle. The hallmark signs of investment misconduct are: Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets Your financial advisor is recommending […]
July 2, 2018
In the event you have realized investment losses due to broker misconduct, chances are that you are required to pursue your claims in arbitration before the Financial Industry Regulatory Authority (FINRA). In a more limited number of circumstances, if no arbitration agreement exists between you and your brokerage firm, you may be able to pursue […]