fbpx

Tag: Failure to Supervise

  • Home
  • »
  • Failure to Supervise

Financial Advisor Anthony Diaz (Sandlapper Securities) Customer Complaints

The Wolper Law Firm, P.A. 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) […]

Financial Advisor Malcolm Reader (GMS Group) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Malcolm Reader, a Financial Advisor at GMS Group in Boca Raton, FL.  Malcolm Reader first entered the securities industry in 1981. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Malcolm Reader has been the subject of eight (8) customer complaints […]

Financial Advisor William Ornstein (GMS Group) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against William Ornstein, a Financial Advisor at GMS Group in Boca Raton, FL.  William Ornstein first entered the securities industry in the 1970s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Ornstein has been the subject of nine (9) customer […]

Financial Advisor Larry Werbel (Concorde Ivestment Services, LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Larry Werbel, a former Financial Advisor at Concorde Investment Services, Summit Brokerage Services and LPL Financial in Chargin Falls, Ohio.  Larry Werbel first entered the securities industry in 1996. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Larry Werbel has […]

Financial Advisor Lawrence Fawcett (Westpark Capital) Customer Complaints

Lawrence Fawcett is a former Financial Advisor at Westpark Capital in Los Angeles, CA.  Lawrence Fawcett has been in the securities industry since the 2012. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), during Lawrence Fawcett’s six year career, he has been the subject of five (5) customer complaints and […]

Financial Advisor Barry Garapedian (Morgan Stanley) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Barry Garapedian, a Financial Advisor at Morgan Stanley in Westlake Village, California.  Barry Garapedian has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), as June 25, 2018, Barry Garapedian has been the […]