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Category Broker Discipline

Financial Advisor, Adam Michael Lopez, Barred By FINRA After Being Terminated By Country Capital Management

December 23, 2018

The Wolper Law Firm is currently investigating claims against Adam Michael Lopez, a former Financial Advisor at Country Capital Management in Springfield, Illinois.  Adam Michael Lopez has been in the securities industry since 2008 and has worked at Country Capital Management his entire career.  According to publicly available records released by the Financial Industry Regulatory…

INVESTOR UPDATE—Terminated Financial Advisor, Mitchell Kurtz, Sanctioned By FINRA For Selling Away

December 9, 2018

The Wolper Law Firm previously announced it was investigating claims against Mitchell Kurtz, a former Financial Advisor at Henley & Co. in Roslyn Heights, NY.  Mitchell Kurtz has been in the securities industry since 1994 and previously worked at Raymond James.  Since commencing the investigation, Mitchell Kurtz was barred by FINRA from working in the…

Wells Fargo Financial Advisor, Ronald Blasczyk, Is The Subject Of A FINRA Enforcement Action

December 9, 2018

The Wolper Law Firm is currently investigating claims against Ronald Blascyzk, a former Financial Adviser at Wells Fargo Clearing Services in Green Bay, Wisconsin.  Ronald Blascyzk has been in the securities industry since the 1990s and previously worked at US Bancorp Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation

December 9, 2018

The Wolper Law Firm is currently investigating claims against John Pariser, a former Financial Adviser at Independent Financial Group in Pacific Grove, California.  John Pariser has been in the securities industry since the 1990s and previously worked at SWS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on…

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