The Wolper Law Firm, P.A. is currently investigating claims against Steven Knuttila, a former Financial Advisor at Capital Financial Services in Perham Minnesota.  Steven Knuttila’s past employments include Questar Capital Corp., US Allianz Securities, Raymond James and Edward Jones. According to public records released by the Financial Industry Regulatory Authority (FINRA), on June 19, 2018, […]

The Wolper Law Firm, P.A. is currently investigating claims against Oscar Francis, a former Financial Advisor at MML Investors Services in Ft. Lauderdale, FL. In April 2017, the Department of Justice commenced an investigation into Oscar Francis regarding “selling away and [an] outside business activity.” The Financial Industry Regulatory Authority (FINRA) strictly prohibits financial advisor […]

The Wolper Law Firm, P.A. is currently investigating claims against Jack Griffith, a Financial Advisor at Janney Montgomery Scott in Columbia, South Carolina.  Jack Griffith’s past employments include Ameriprise Advisor Services and AG Edwards. Jack Griffith has three pending customer complaints against him, alleging combined damages of more than $4.5 million: January 2018—Customer alleges that […]

The Wolper Law Firm, P.A. is currently investigating claims against Andrew Lowe, a former Financial Advisor at Berthel Fisher & Company Financial Services in Centre, AL.  Andrew Lowe’s past employments include Sterne Agee Financial Services and Wachovia Securities. In June 2018, Andrew Lowe consented to sanctions imposed by FINRA for alleged “unsuitable trading of Class […]

The Wolper Law Firm, P.A. is currently investigating claims against Douglas Leone, A former Financial Advisor at Salomon Whitney Financial in Melville, NY.  Douglas Leone’s previous associations include Newport Coast Securities and Basic Investors, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Douglas Leone has been the subject of […]

The Wolper Law Firm, P.A. is currently investigating claims against Brad Lawing, A former Financial Advisor at Cambridge Investment Research in Springfield, Missouri. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brad Lawing has been the subject of eleven (11) customer complaints since 2015.  This is an exceedingly high number […]

The Wolper Law Firm, P.A. is currently investigating claims against Alvery Bartlett, A Financial Advisor at Arete Wealth Management in Clayton, Missouri. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, two (2) customer complaints were filed against Alvery Bartlett.  The first customer complaint, filed in January 2018, alleges […]

The Wolper Law Firm, P.A. is currently investigating claims against Summit Brokerage Services Financial Advisor, Michael Mathias, based in Mt. Kisco, NY. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), as of June 2018, Michael Mathias has twenty (20) reported customer complaints on his BrokerCheck report.  Statistically, it is exceedingly […]

The Wolper Law Firm, P.A. is currently investigating claims against former First Allied Securities Financial Advisor, Sean Alan Brady, based in St. Louis. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2018, FINRA barred Sean Brady from associating as a Financial Advisor with any FINRA member firm.  The […]