Category Energy Sector Losses
Former Cetera Broker, Jerry Michna, Has Pending Customer Complaint Regarding The Sale Of Oil & Gas Investments
The Wolper Law Firm is currently investigating claims against Jerry Michna, a former Financial Advisor at Cetera Advisors Networks in Louisville, Ohio. Jerry Michna has been in the securities industry since the 1990s and previously worked at Questar Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July…
Wells Fargo Broker, Bryan Musso, Has Pending Customer Complaint Alleging The Improper Sale Of Oil And Gas Investments
The Wolper Law Firm is currently investigating claims against Bryan Musso, a Financial Advisor at Wells Fargo in New Orleans. Bryan Musso has been in the securities industry since 1993 and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 7, 2017, a customer…
INVESTOR WARNING—Former Janney Montgomery Broker, Scott William Palmer, Barred From Industry By FINRA
The Wolper Law Firm is currently investigating claims against Scott Palmer, a former Financial Advisor at Janney Montgomery in Hackensack, New Jersey. Scott Palmer has been in the securities industry since 1973 and previously worked at Citigroup, and Dean Witter. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April…
Walter Stucker Has A Pending Customer Complaint For Unsuitable Recommendations Of Energy Sector Investments
The Wolper Law Firm is currently investigating claims against Walter Stucker, a Financial Advisor with Wells Fargo Advisors in Fort Worth, Texas. Gregory Hill has been in the securities industry since the 1990s and previously worked for UBS Financial Services through mid-2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…
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- Wells Fargo Clearing Services, LLC Broker, Kevin Schaefer, Has Had Six Customer Complaint Disclosures Throughout His Career
- Former LPL Financial Broker, Michael Tavel, Suspended by FINRA for 18 Months After Allegedly Participating in Private Securities Transactions Away from His Member Firm
- R.F. Lafferty & Co., Inc. Broker Jay Tomlinson Suspended For Three Months and Fined After Allegations of Improperly Exercised Discretion Without Proper Authorization
- Customer Dispute Pending Against Morgan Stanley Broker and Investment Adviser Darryl Cohen for Alleged Misappropriation of Funds
- FINRA Regulatory Complaint Filed Against Investment Adviser and Former Westpark Capital, Inc. Broker, Gregory McCloskey, for Making Private Securities Transactions
- Former J.P. Morgan Securities LLC Financial Advisor, Paul Zakhary, Suspended and Fined By FINRA Over Suitability Rule Violations