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Category: Summit Brokerage Services

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Former Summit Equities Broker, Thomas Stappas, Barred By FINRA For Failing To Provide Documents And Information To FINRA In Connection With Investigation Into Outside Business Activities

Thomas Stappas (CRD # 855198) is a former Financial Advisor at Summit Equities, Inc. in Parisippany, NJ.  Thomas Stappas has been in the securities industry since 1978 and previously worked at Cigna Securities, Inc.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA barred Thomas Stappas from […]

Summit Brokerage Services Financial Advisor, Victor Rigoni III, Has Pending Customer Complaint, Alleging Fraud And Misrepresentation

The Wolper Law Firm is currently investigating claims against Victor Rigoni III, a Financial Adviser at Summit Brokerage Services in Lake Forrest, Illinois.  Victor Rigoni III has been in the securities industry since 2000 and previously worked at Cambridge Investment Research.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Victor […]

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, […]

Summit Brokerage Services Financial Advisor, Joel Kamphuis, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments

The Wolper Law Firm is currently investigating claims against Joel Kamphuis, a Financial Advisor at Summit Brokerage Services in Fort Lauderdale, FL.  Joel Kamphuis has been in the securities industry since 1987 and previously worked at J.P. Turner & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June […]

Summit Brokerage Services Financial Advisor, John Raleigh, Has Pending Customer Complaint Alleging Unsuitable Annuity Recommendations

The Wolper Law Firm is currently investigating claims against John Raleigh, a Financial Advisor at Summit Brokerage Services in Sarasota, FL.  John Raleigh has been in the securities industry since 1993 and previously worked at American Express Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 7, […]

Current Summit Brokerage Services Financial Advisor, Linda Zara, Was Terminated By Wells Fargo For Taking A Loan From A Client

The Wolper Law Firm is currently investigating claims against Linda Zara, a Financial Advisor at Summit Brokerage Services in Boca Raton, FL.  Linda Zara has been in the securities industry since 1993. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 7, 2017, Linda Zara was terminated by Wells […]

Larry Werbel Has A History Of Sales Practice Misconduct Which Culminated In A Suspension By The SEC

The Wolper Law Firm is currently investigating claims against Larry Werbel, a former Financial Advisor at Concorde Investment Services, Summit Brokerage Services and LPL Financial in Chargin Falls, Ohio.  Larry Werbel first entered the securities industry in 1996. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Larry Werbel has a […]

Have You Lost Money Investing With Michael Mathias At Summit Brokerage Services In Mt. Kisco, NY?

The Wolper Law Firm 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 rare […]