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Category: Breach of Fiduciary Duty

Financial Advisor Wayne Miller (Aeon Capital Inc.) Customer Complaints

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), […]

Financial Advisor Nina Jessee (Investors Capital Corp) 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 […]

Financial Advisor John Maloney (Woodbury Financial Services) Customer Complaints

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 (Rhodes Securities, Inc.) Customer Complaints

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 […]

Financial Advisor William Burks (Centaurus Financial, Inc.) Customer Complaints

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 […]

Financial Advisor Jennifer Ling (Axiom Capital) Customer Complaints

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 […]

Financial Advisor Michael Fitz-Gerald (Morgan Stanley) 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 […]

Financial Advisor Robert Tweed (Cabot Lodge Securities LLC) 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 […]

Financial Advisor Mitchell Yanow (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

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 […]

Financial Advisor Jon Schmidhammer (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

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 […]