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Category: Sanction

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 […]

Former Morgan Stanley Financial Advisor, Lloyd Layton, Sanctioned By FINRA For The Improper Sales Of Unit Investment Trusts (UITs)

The Wolper Law Firm 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 August […]

INVESTOR ALERT—Complaints Continue To Roll In Against former UBS Broker, John Maccoll, Who Was Barred By FINRA

The Wolper Law Firm 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 29, […]

INVESTOR WARNING—Sanders Spangler Barred By FINRA For Failing To Respond To Allegations That He Engaged In Alleged Unauthorized Trading

The Wolper Law Firm 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, 2018, […]

Suhail Khan, Previously Barred By FINRA, Is The Subject Of A Customer Complaint For Allegedly Selling Away

The Wolper Law Firm 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 (FINRA), […]

Kimberly Pine Kitts, Previously Barred By FINRA, Now The Subject Of An SEC Complaint

The Wolper Law Firm 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 (FINRA), […]

SEC Files Action Against James Unger For, Among Other Things, Misappropriating Assets

The Wolper Law Firm 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) institution […]