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Category: Selling Away

Financial Advisor, Nicholas Radke, Barred By FINRA For Allegedly Selling Away

The Wolper Law Firm is currently investigating claims against Nicholas Radke (CRD  2610246),a former Financial Adviser at American Independent Investment Group in Lake Oswego, Oregon.  Nicholas Radke has been in the securities industry since the 1990s and previously worked at LPL Financial Group.  According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor, Robert Jamison II, Barred By FINRA For Allegedly Referring Customers To An Unregistered Person In Order To Make Investments

The Wolper Law Firm is currently investigating claims against Robert Jamison II (CRD  5793591),a Financial Adviser at Independent Financial Group in Salinas, California and PNC Investments in Atlanta, Georgia.  Scott Dolven has been in the securities industry since 2010. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 12, […]

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 […]

Broker, Gary Pevey, Discharged By Mutual Securities For Allegedly Selling Away

The Wolper Law Firm is currently investigating claims against Gary Pevey, a former Financial Adviser at Mutual Securities in Sacramento, California.  Gary Pevey has been in the securities industry since the 1990s and previously worked at NFP Advisor Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 3, […]

Terminated Broker, Partho Ghosh, Now The Subject Of A FINRA Enforcement Proceeding

The Wolper Law Firm is currently investigating claims against Partho Ghosh, a former Financial Advisor at NY Life in New York, NY.  Partho Ghosh has been in the securities industry since 1980s and previously worked at MMC Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 27, 2018, […]

SEC Brings An Enforcement Action Against Indianapolis Broker, Tamara Steele, For Selling Millions Of High-Risk Securities To Advisory Clients

The Wolper Law Firm is currently investigating claims against Tamara Steele, a former Financial Advisor at Comprehensive Asset Management in Pendelton, Indiana.  Tamara Steele has been in the securities industry since the 1990s and previously worked at Purshe, Kaplan Sterling Investments. According to publicly available records released by the Securities and Exchange Commission (SEC), on […]

Financial Advisor, George McCaffrey, Barred By FINRA For Selling Away

The Wolper Law Firm is currently investigating claims against George McCaffrey, a former Financial Advisor at NTB Financial Corp. in Englewood, Colorado.  George McCaffrey has been in the securities industry since the 1970s and has worked for NTB Financial Corp. since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority […]

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 […]

Cetera Advisors Terminated Scott Kozak For “Violating Firm Policy Prohibiting Securities Transactions”

The Wolper Law Firm is currently investigating claims against Scott Kozak, a former Financial Advisor at Cetera Advisors in Highlands Ranch, Colorado.  Scott Kozak has been in the securities industry since the 1980s and previously worked at Financial West Group According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July […]

Financial Advisor Mitchell Kurtz Terminated By Henley & Co. For Selling Away

The Wolper Law Firm is currently 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. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 30, […]