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Category: Broker Discipline

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

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

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

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 […]

Former Raymond James Financial Advisor, Stephen Murray, Barred By FINRA

The Wolper Law Firm is currently investigating claims against Stephen Murray, a former Financial Adviser at Raymond James in Palm Beach Gardens, FL. Stephen Murray has been in the securities industry since the 1970s and has worked for Morgan Keegan & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

FINRA Barred Broker, John Angelone, For Allegedly Selling Unregistered Securities

The Wolper Law Firm is currently investigating claims against John Angelone, a former Financial Advisor at Network One Financial Securities and Olympus Securities in Weston, Connecticut. Sean Kelly has been in the securities industry since the 1990s and previously worked at three brokerage firms that have since been expelled from the securities industry. According to […]

Morgan Stanley Financial Advisor, John Halsey Buck III, Terminated For Failing To Disclose Private Securities Transactions And Now Has Also Been Sanctioned By FINRA

The Wolper Law Firm is currently investigating claims against John Halsey Buck III, a former Financial Advisor at Morgan Stanley in Boston, Mass. John Halsey Buck III has been in the securities industry since the 1970s and previously worked at UBS and Wachovia. According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor, Wilfred Rodriguez, Barred By FINRA For Failing To Cooperate With A FINRA Investigation

The Wolper Law Firm is currently investigating claims against Wilfred Rodriguez, a former Financial Advisor at Wells Fargo in Boca Raton, FL. Wilfred Rodriguez has been in the securities industry since the 1990s and previously worked at Prudential and PaineWebber. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October […]

Former FSG Advisors Broker, Michael Bressman, Terminated By FSG And Now The Subject Of An SEC Action For Fraudulent Charry Picking Scheme

The Wolper Law Firm is currently investigating claims against Michael Bressman, a former Financial Advisor at FSG Advisors in Chatham, NJ.  Michael Bressman has been in the securities industry since 1970s and previously worked at Merrill Lynch. According to publicly available records released by the Securities and Exchange Commission (SEC), on September 24, 2018, the […]

Moors & Cabot Terminated Robert Clark For Allegedly Taking A Loan From A Customer

The Wolper Law Firm is currently investigating claims against Robert Clark, a former Financial Advisor at Moors & Cabot in Boston, Massachusetts.  Robert Clark has been in the securities industry since the 1970s and previously worked for dozens of brokerage firms, including Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor, Jeffrey Sigman, Barred By FINRA After Being Terminated By First Financial Equity Corp.

The Wolper Law Firm is currently investigating claims against Jeffrey Sigman, a former Financial Advisor at First Financial Equity Corp. in Greenwood Village, Colorado.  Jeffrey Sigman has been in the securities industry since the 1980s and previously worked at Neidiger, Tucker & Bruner. According to publicly available records released by the Financial Industry Regulatory Authority […]