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Category Negligence

Financial Advisor, Jim Rhodes, Of Rhodes Securities, Has Pending Customer Complaint

August 15, 2018

The Wolper Law Firm is currently investigating claims against Jim Rhodes, a Financial Advisor at Rhodes Securities, Inc. in Fort Worth, Texas.  Jim Rhodes has been in the securities industry since 1973 and previously worked at Financial First Securities, a brokerage firm that was expelled from the securities industry. According to publicly available records released…

Ameriprise Financial Advisor, Michael Lipscomb, Has Six Customer Complaints For Alleged Sales Practice Violations

August 14, 2018

The Wolper Law Firm is currently investigating claims against Michael Lipscomb, a Financial Advisor at Ameriprise in Orlando, FL.  Michael Lipscomb has been in the securities industry since 1992 and previously worked at Wunderlich Securities in Memphis. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Michael Lipscomb has been the…

INVESTOR WARNING—Chadwick Carrick Has Pending Customer Complaint For Alleged Excessive Trading And Breach Of Fiduciary Duty

August 7, 2018

The Wolper Law Firm is currently investigating claims against Chadwick Carrick, a former Financial Advisor at Stifel Nicoloaus, who is now with Jeffrey Matthews Financial Corp. in Mobile, Alabama. Chadwick Carrick has been in the securities industry since the 1990s and previously worked at Sterne, Agee & Leach and Morgan Stanley. According to publicly available…

Raymond James Financial Advisor, George Puliafico, Has $2 Million Customer Complaint

July 19, 2018

The Wolper Law Firm is currently investigating claims against George Puliafico, a Financial Advisor at Raymond James in Walpole, Maine.  George Puliafico has been in the securities industry since the 1980s and previously worked for Robert Thomas Securities, Smith Barney and Lehman Brothers. According to publicly available records released by the Financial Industry Regulatory Authority…

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