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Category Misrepresentation

MONEY Concepts Broker, Ray Reece, Has Five Customer Complaints, Including Three Since 2015

November 10, 2018

The Wolper Law Firm is currently investigating claims against Ray Reece, a Financial Advisor at MONEY Concepts Capital Corp. in Farmington, MO. Ray Reece has been in the securities industry since the 1980s and previously worked at Prudential Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2015,…

Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta

November 3, 2018

The Wolper Law Firm is currently investigating claims against Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta, Georgia. Sean Kelly has been in the securities industry since 2000 and previously worked at Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Embattled Financial Advisor, David Colflesh, Suspended By FINRA For Allegedly Making Unsuitable Investment Recommendations

October 28, 2018

The Wolper Law Firm is currently investigating claims against David Colflesh, a Financial Advisor at New York Life Securities in Tarkio, Montana. David Colflesh has been in the securities industry since the 1980s and worked with NY Life for the entirety of his career. According to publicly available records released by the Financial Industry Regulatory…

Summit Brokerage Services Financial Advisor, Scott Kaup, Has Pending Customer Complaint, Alleging $2.6 Million In Damages

October 19, 2018

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,…

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