fbpx

Category: Misrepresentation

Former RBC Capital Markets Financial Advisor Paul Koch Barred by FINRA

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

MONEY Concepts Broker, Ray Reece, Has Five Customer Complaints, Including Three Since 2015

The Wolper Law Firm is currently investigating claims against Ray Reece, a Financial Advisor at MONEY Concepts Capital Corp. in Farmington, MO. Ray Reece has been in the securities industry since the 1980s and previously worked at Prudential Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2015, […]

Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta

The Wolper Law Firm is currently investigating claims against Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta, Georgia. Sean Kelly has been in the securities industry since 2000 and previously worked at Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Summit Brokerage Services Financial Advisor, Scott Kaup, Has Pending Customer Complaint, Alleging $2.6 Million In Damages

The Wolper Law Firm is currently investigating claims against Scott Kaup, a Financial Advisor at Summit Brokerage Services in Stuart, Nebraska. Scott Kaup has been in the securities industry since the 1980s and previously worked at VSR FInancial. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, 2018, […]

Former LPL Financial Advisor, Steven Crawford, Has $600,000 Customer Complaint For Allegedly Recommending A Variable Universal Insurance Product

The Wolper Law Firm is currently investigating claims against Steven Crawford, a former Financial Advisor at LPL Financial, now currently with Kestra Financial, in Glen Allen, Virgina. Steven Crawford has been in the securities industry since the 1980s and previously worked at Jefferson Pilot Securities. According to publicly available records released by the Financial Industry […]

Financial Advisor, Thomas Logue, Barred By FINRA And Also Has Numerous Customer Complaints For Sales Practice Violations

The Wolper Law Firm is currently investigating claims against Thomas Logue, a former Financial Advisor at American Independent Securities Group in Hilldale, Illinois.  Thomas Logue has been in the securities industry since the 1990s and previously worked at Investors Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Western International Securities Broker, Kenneth McDonald, Is The Subject Of A Complaint For $834,000 Based On Misrepresentation And Unsuitability

The Wolper Law Firm is currently investigating claims against Kenneth McDonald, a Financial Advisor at Western International Securities in Westlake Village, California.  Kenneth McDonald has been in the securities industry since the 1970s and previously worked at Newport Coast Securities, which has since been expelled from the industry by FINRA. According to publicly available records […]

Summit Brokerage Services Financial Advisor, Joel Kamphuis, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments

The Wolper Law Firm is currently investigating claims against Joel Kamphuis, a Financial Advisor at Summit Brokerage Services in Fort Lauderdale, FL.  Joel Kamphuis has been in the securities industry since 1987 and previously worked at J.P. Turner & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June […]

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 […]

INVESTOR ALERT—Terminated Broker, James Flynn, Sanctioned By FINRA

The Wolper Law Firm is currently investigating claims against James Flynn a/k/a Jim Flynn, a former Financial Advisor at Voya Financial Advisors and IFS Securities in Greenville, South Carolina.  James Flynn a/k/a Jim Flynn has been in the securities industry since the 1990s and previously worked at Capital Investment Group and Brookstone Securities. According to […]