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Category Breach of Fiduciary Duty

Newbridge Financial Advisor, Dana Davis, Has Eight Customer Complaints, Including Two Pending Complaints

October 14, 2018

The Wolper Law Firm is currently investigating claims against Dana Davis, a Financial Advisor at Newbridge Securities Corp. in New York, NY. Dana Davis has been in the securities industry since the 1980s and previously worked at First Montauk Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September…

Former Investors Capital And Cetera Financial Advisor, Nina Jessee, Terminated For Not Disclosing Outside Business Activities, And Now The Subject Of Ten Customer Complaints

October 6, 2018

The Wolper Law Firm is currently investigating claims against Nina Jessee, a former Financial Advisor at Investors Capital Corp and Cetera Advisors in Abingdon, Virginia. Nina Jessee has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 10, 2017, Nina Jessee…

American Portfolios Financial Advisor, Jimmy Kuhn, Has Four Customer Complaints, Alleging Sales Practice Violations

August 31, 2018

The Wolper Law Firm is currently investigating claims against Jimmy Kuhn, a Financial Advisor at American Portfolios Financial Services in Smithtown, NY.  Jimmy Kuhn has been in the securities industry since the 1990s and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2010, Jimmy…

Woodbury Financial Services Broker, John Maloney, Has Two Pending Customer Complaints Based on Unsuitable Investment Recommendations

August 15, 2018

The Wolper Law Firm is currently investigating claims against John Maloney, a Financial Advisor at Woodbury Financial Services in Morristown, New Jersey.  John Maloney has been in the securities industry since 1981 and previously worked at Edward Jones until 2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November…

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