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Category Failure to Supervise

Mitchell Yanow Barred By FINRA After Allegedly Stealing Money From An 87 Year Old Customer

July 16, 2018

The Wolper Law Firm is currently investigating claims against Mitchell Yanow, a former Financial Advisor at Stifel Nicolaus & Co. in Boca Raton, FL.  Mitchell Yanow first entered the securities industry in the 1990s and previously worked for Oppenheimer & Co. and Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory…

Financial Advisors Marilyn Zehntner And Jim Rhodes Have Had Two Customer Complaints Since 2017

July 2, 2018

The Wolper Law Firm is currently investigating claims against Jim Rhodes and Marilyn Zehntner, Financial Advisors at Rhodes Securities in Fort Worth, Texas.  Jim Rhodes first entered the securities industry in 1975 and Marilyn Zehntner entered the securities industry in 2000. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jim…

Financial Advisor Jerry Raines Has 12 Customer Complaints Relating To The Alleged Unlawful Sale Of The Woodbridge Mortgage Investment Fund

July 2, 2018

The Wolper Law Firm is currently investigating claims against Jerry Raines, a former Financial Advisor at HD Vest Investment Services in Kilgore, Texas.  Jerry Raines first entered the securities industry in 2004 and previously worked for Signal Securities and Woodmen Financial Services According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Financial Advisor Peter Klaas Has 5 Customer Complaints And One Regulatory Event

July 2, 2018

The Wolper Law Firm is currently investigating claims against Peter Klaass, a former Financial Advisor at Allegis Investment Services, LLC in Las Vegas, Nevada.  Peter Klaass first entered the securities industry in 1993 and previously worked for Signator Financial Services, LPL Financial, Financial Network Investment Corp. and Edward Jones. According to publicly available records released…

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