fbpx

Category: Unsuitability

Former Lebenthal Financial Services Broker Robert Nyilas Barred Indefinitely by FINRA After Refusing to Participate in Investigation into Unsuitability Allegations

Robert Nyilas (CRD#: 1030273) is a previously registered Broker. He entered the securities industry in 1982 and previously worked for Lebenthal Financial Services, Inc.; Advisory Group Equity Services, Ltd.; Source Capital Group, Inc.; Gilford Securities Incorporated; Gruntal & Co.; LLC; Herzfeld & Stern, Inc.; E.F. Hutton & Company, Inc. According to publicly available records released […]

Wavecrest Securities Broker Louis Kreisberg Barred by FINRA After Failing to Participate in Investigation of Unsuitability Allegations

Louis Kreisberg (CRD#: 1352881) is a previously registered Broker at Wavecrest Securities, LLC in Brentwood, TN. He entered the securities industry in 1985 and previously worked for Pickwick Capital Partners, LLC; Trump Securities, LLC; Joseph Capital, LLC; United Planners’ Financial Services of America A Limited Partners; John Hancock Mutual LIfe Insurance Company; John Hancock Distributors, […]

Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation

The Wolper Law Firm is currently investigating claims against John Pariser, a former Financial Adviser at Independent Financial Group in Pacific Grove, California.  John Pariser has been in the securities industry since the 1990s and previously worked at SWS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Morgan Stanley Broker, William Dumchus, Has Two Pending Complaints Alleging The Sale Of Unsuitable Investments

The Wolper Law Firm is currently investigating claims against William Dumchus, a Financial Adviser at Morgan Stanley in Short Hills, NJ. William Dumchus has been in the securities industry since the 1980s and has worked for Wells Fargo Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2018, […]

INVESTOR ALERT: Financial Advisor, Steve Reznick, Has Nine Customer Complaints, Including Five Pending Complaints

The Wolper Law Firm is currently investigating claims against Steve Reznick, a former Financial Advisor at Raymond James in Tallahassee, FL. Steve Reznick has been in the securities industry since the 19980s and spent most of his career at Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Steve […]

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, […]

Financial Advisor, John Pronovost, Has Had Five Customer Complaints Filed Against Him In 2018 For Alleged Sales Practice Violations

The Wolper Law Firm is currently investigating claims against John Pronovost, a Financial Advisor at Cambridge Investment Research in Watertown, Connecticut. John Pronovost has been in the securities industry since the 1980s and previously worked at MML Investor Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, five […]

Former Investors Capital And Cetera Financial Advisor, Nina Jessee, Terminated For Not Disclosing Outside Business Activities, And Now The Subject Of Ten Customer Complaints

The Wolper Law Firm is currently investigating claims against Nina Jessee, a former Financial Advisor at Investors Capital Corp and Cetera Advisors in Abingdon, Virginia. Nina Jessee has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 10, 2017, Nina Jessee […]

Stifel Nicolaus Financial Advisor, Scott Sanders, Has Pending Complaint, Alleging Breach Of Fiduciary Duty

The Wolper Law Firm is currently investigating claims against Scott Alan Sanders, a Financial Advisor at Stifel Nicolaus in Ft. Myers, Florida.  Scott Sanders has been in the securities industry since the 1990s and previously worked at Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 25, […]

FINRA Barred Financial Advisor, Juergen Weber, For Failing To Appear For Testimony To Respond To Allegations Of Unauthorized Trading

The Wolper Law Firm is currently investigating claims against Juergen Weber, a former Financial Advisor Benjamin & Jerold Brokerage in New York, NY.  Juergen Weber has been in the securities industry since the 1990s and previously worked at Avalon Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September […]