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Category: Broker Discipline

Financial Advisor Lloyd Layton (Morgan Stanley) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Lloyd Layton, a former Financial Advisor at Morgan Stanley in Washington D.C.  Lloyd Layton previously worked at Morgan Stanley until 2015 and has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Financial Advisor John Maccoll (UBS Financial Services, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against John Maccoll, a former Financial Advisor at UBS Financial Services in Birmingham, Michigan.  John Maccoll has been in the securities industry since the 1970s and previously worked for Morgan Stanley According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March […]

Financial Advisor Sanders Spangler (LPL Financial LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Sanders Spangler, a Financial Advisor at LPL Financial in San Antonio, Texas.  Damian Mamane has been in the securities industry since the 2000 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 26, […]

Financial Advisor Suhail Khan (LPL Financial LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Suhail Khan, a former Financial Advisor at LPL Financial, LLC in Chicago, Illinois.  Suhail Khan has been in the securities industry since the 1990’s and previously worked for Vision and U.S. Financial Investments. According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor Kimberly Pine Kitts (Royal Alliance Associates, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Kimberly Pine Kitts, a former Financial Advisor at Royal Alliance Associates in Palmer, Maine.  Kimberly Pine Kitts has been in the securities industry since the 1990s and previously worked for ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor James Unger (Financial American Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against James Unger, a former Financial Advisor at Financial American Securities, Hennion and Walsh and Fintegra in various cities throughout Ohio.  James Unger first entered the securities industry in the 1990s. According to publicly available records, on July 17, 2018, the Securities and Exchange Commission (SEC) […]

Financial Advisor Steven Coffey (First American Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Steven Coffey, a former Financial Advisor at First American Securities in Orrville, Ohio.  Steven Coffey first entered the securities industry in 2001 and previously worked for MML Investors Services and Nationwide Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Paul Soll (Western International Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Paul Soll, a former Financial Advisor at Western International Securities and Financial West Group in Los Angeles, California.  Paul Soll first entered the securities industry in the 1970s and previously worked for SRM Securities and Oppenheimer. According to publicly available records released by the Financial […]

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

The Wolper Law Firm, P.A. 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 […]

Financial Advisor Matthew Eckstein (Sisk Investment Services) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Matthew Eckstein, a former Financial Advisor at Sisk Investment Services in Syosset, NY.  Matthew Eckstein first entered the securities industry in the 1990s and previously worked for Gould, Ambroson & Assoc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]