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Category: Breach of Fiduciary Duty

Aeon Capital Inc. Broker, Wayne Miller, Has Had Six Customer Complaint Disclosures And Was Fined and Suspended by FINRA

Wayne Miller (CRD # 4813645) is a Financial Advisor at Aeon Capital Inc. in Scottsdale, AZ. Wayne Miller has been in the securities industry since 2004 and previously worked at American Asset Advisory, LLC, Accelerated Capital Group, and Longview Financial Group, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

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

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 […]

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

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 […]

Financial Advisor, Jim Rhodes, Of Rhodes Securities, Has Pending Customer Complaint

The Wolper Law Firm is currently investigating claims against Jim Rhodes, a Financial Advisor at Rhodes Securities, Inc. in Fort Worth, Texas.  Jim Rhodes has been in the securities industry since 1973 and previously worked at Financial First Securities, a brokerage firm that was expelled from the securities industry. According to publicly available records released […]

INVESTOR ALERT—Centaurus Broker William (“Bill”) Burks Has Pending Customer Complaint Alleging Damages Of $415,000

The Wolper Law Firm is currently investigating claims against William Burks, a Financial Advisor at Centaurus Financial in Flower Mound, Texas.  William Burks has been in the securities industry since the 1990s and previously worked at PFS Investments, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2010, William […]

Former Axiom Capital Management Broker, Jennifer Ling, Has Three Customer Complaints, Alleging Fraud, Breach Of Fiduciary Duty And Negligence

The Wolper Law Firm is currently investigating claims against Jennifer Ling, a former Financial Advisor at Axiom Capital in New York, NY.  Jennifer Ling has been in the securities industry since the 2000 and previously worked for Fidelity and Charles Schwab. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jennifer […]

Former Morgan Stanely Financial Advisor Michael Fitz-Gerald Has Multiple Customer Complaints

The Wolper Law Firm is currently investigating claims against Michael Fitz-Gerald, a former Financial Advisor at Morgan Stanley in San Francisco, CA.  Michael Fitz-Gerald has been in the securities industry since the 1970s and previously worked for UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June […]

INVESTOR WARNING–Financial Advisor Robert Tweed a/k/a Rusty Tweed Has An Eye Popping Eleven Customer Complaints

The Wolper Law Firm is currently investigating claims against Robert Tweed a/k/ Rusty Tweed, a Financial Advisor at Cabot Lodge Securities in San Marino, California.  Robert Tweed a/k/ Rusty Tweed has been in the securities industry since the 1990s and previously worked for Capwest Securities and MAM Securities. According to publicly available records released by […]

Mitchell Yanow Barred By FINRA After Allegedly Stealing Money From An 87 Year Old Customer

The Wolper Law Firm is currently investigating claims against Mitchell Yanow, a former Financial Advisor at Stifel Nicolaus & Co. in Boca Raton, FL.  Mitchell Yanow first entered the securities industry in the 1990s and previously worked for Oppenheimer & Co. and Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory […]

Former Stifel Nicolaus Financial Advisor, Jon Schmidhammer, Barred By The Securities Exchange Commission (SEC) For Fraud And Criminal Conduct

The Wolper Law Firm is currently investigating claims against Jon Schmidhammer, a former Financial Advisor at Stifel, Nicolaus & Co. in Dublin, Ohio.  Jon Schmidhammer first entered the securities industry in the 1980s and previously worked for Merrill Lynch, Advest and UBS Financial Services. According to publicly available records released by the Securities Exchange Commission […]