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Category Document Forgery

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

July 19, 2018

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),…

Wolper Law Firm Is Investigating Claims Against Sanctioned Financial Advisor, Anthony Diaz, Who Has 55 Reported Disclosures

June 28, 2018

The Wolper Law Firm is currently investigating claims against Anthony Diaz, a former Financial Advisor at Sandlapper Securities in Scotrun, Pennsylvania.  Anthony Diaz first entered the securities industry in 2000. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Anthony Diaz has been the subject of more than forty-five (45) customer…

Sean Alan Brady, A Former Financial Advisor At First Allied Securities In St. Louis, Was Barred By FINRA

June 20, 2018

The Wolper Law Firm 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 regulatory…

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