Scot Fairchild (CRD # 2323211) is a Financial Advisor at Lucia Securities, LLC in Henderson, NV. Scot Fairchild has been in the securities industry since 1993 and previously worked at Sagepoint Financial, INC, Success Financial Advisors, LLC, and Sunamerica Securities, INC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Robert Giannchiglia (CRD # 2117250) is a Financial Advisor at USA Financial Securities Corporation in Worcester, MA. Robert Giannchiglia has been in the securities industry since 1991 and previously worked at Investors Capital Advisory and Eastern Point Advisors INC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since September 20003, […]

The Wolper Law Firm, P.A. is pursuing FINRA arbitration claims on behalf of investors who experienced losses in structured products, including Auto-Callable Structured Notes, in February and March 2020. Structured products, generally, are investment vehicles based on or derived from a single security, a basket of securities, an index, a commodity, a debt issuance and/or […]

Losing money in an investment opportunity or on the stock market is never an easy loss, but what if you discover that you only suffered these losses because your stockbroker was acting in bad faith.  Stockbroker misconduct is fairly common in the securities industry, but there is something you can do about it when you […]

The coronavirus market crash in March 2020 had a significant impact on investors across the U.S. Countless investors endured considerable investment losses due to unsuitability, overconcentration, structured products, margin calls, and illiquid alternative investments. Alternative investments are often not suitable for many investors, and if your broker failed to inform you of the risks of […]

Ponzi schemes are, unfortunately, one of the most common types of investment fraud within the securities industry. Many investors trust that their brokers do their due diligence before recommending investment opportunities; others may not have the time or experience to do their own research before taking a chance on an investment that sounds promising.  However, […]

On February 19, 2020, the Dow Jones Industrial Average (“Dow Jones”) and the S&P 500 indices—the two primary benchmarks for measuring the performance of the United States equities market, closed at 29,348 and 3,386, respectively. As of March 18, 2020, both the Dow Jones and S&P 500 indices had declined nearly 35%. During this time, […]

Stockbrokers are trusted to handle the accounts of investors in order to generate returns. However, many stockbrokers engage in scams in order to further their own financial interests, without regard for the impact these investments will ultimately have on the investor.  The securities industry is complex, which provides unscrupulous stockbrokers the perfect opportunity to take […]

One of the primary responsibilities and obligations of a stockbroker is to fully explain the risks of an investment opportunity and make suitable recommendations. The investment suggestions should align with your objectives for your securities portfolio.  However, when a broker fails to provide the correct information and makes unsuitable recommendations, investors often lose money. But, […]

The Wolper Law Firm, P.A., P.A. is expanding its investigation of brokerage firms and financial advisors who sold Steepener Notes, Adjustable Rate Market Notes, Spread Linked Notes and Structured Notes.  In recent years, brokerage firms and Financial Advisors across the country have aggressively marketed and sold Steepener Notes, Adjustable Rate Market Notes, Spread Linked Notes […]