1.800.931.8452
We can help recover your investment loss. Free consultations, always. CONTACT US

Tag Selling Away

Dempsey Lord Smith Advisor, Joseph Roop, Has One Pending And Six Settled Customer Complaints, Alleging Sales Practice Misconduct

April 3, 2020

Joseph Roop (CRD # 2774470) is a Financial Advisor at Dempsey Lord Smith, LLC in Belmont, NC. Joseph Roop has been in the securities industry since 1996 and previously worked for Kalos Capital, Inc., Wachovia Securities, LLC, Banc of America Investment Services, Inc., Legg Mason Wood Walker, Incorporated, MML Investors Services, Inc. and Pruco Securities…

Financial Advisor, John Rosas Jaramillo, Discharged By Western International Securities For “Selling Away”

April 3, 2020

John Rosas Jaramillo (CRD # 2659263) was a Financial Advisor at Western International Securities, Inc. in Westlake Village, CA. John Jaramillo has been in the securities industry since 1996 and previously worked for Financial West Group and PFS Investments, Inc. John Jaramillo is not currently registered as a broker. According to publicly available records released…

Former Cetera Advisors Broker, Scott Kozak, Suspended By FINRA For Two Years, For Allegedly Engaging In Private Securities Transactions

March 22, 2020

Scott Kozak (CRD # 1272583) was a Financial Advisor at Cetera Advisors in Highlands Ranch, Colorado. Scott Kozak has been in the securities industry since 1989 and previously worked for Financial West Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2020, FINRA sanctioned Scott Kozak, suspending…

Former Network 1 Financial Securities Broker, Raymond Thomas, Is The Subject Of A FINRA Enforcement Action

March 15, 2020

Raymond A. Thomas (CRD # 1675282) was a Financial Advisor at Network 1 Financial Securities in Brooklyn, NY. Raymond A. Thomas has been in the securities industry since 1997 and has worked for 16 brokerage firms, including six (6) that have been expelled from the industry by FINRA. According to publicly available records released by…

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.

Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis