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Tag Selling Away

Former Kestra Investment Services Financial Advisor, Michael Lee, Suspended By FINRA For One Year

July 31, 2019

Michael Thomas Lee (CRD 502893) is a former Financial Advisor at Kestra Financial Services in Darien, CT.  Michael Lee has been in the securities industry since 2002 and previously worked at Morgan Stanley, Citigroup and Commonwealth Financial Network.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2019, Michael…

Calton & Associates Financial Advisor, Mark T. Lamkin, Has Three Customer Complaints Alleging Sales Practice Misconduct And A Pending Regulatory Matter

July 29, 2019

Mark T. Lamkin (CRD # 42121510) is a Financial Advisor at Calton & Associates, Inc. in Louisville, KY.  Mark Lamkin has been in the securities industry since 1991 and previously worked at LPL Financial, PNC Brokerage Corp., GNA Securities, Equico Securities and The Equitable Life Assurance Society of the United States.  According to publicly available…

Did Former Transamerica Financial Advisor, Michael Mackay, Sell You Shares Of REPF Fund I?

July 14, 2019

The Wolper Law Firm is representing a former client of Michael Mackay, who was sold a variety of unsuitable investment products, including an unapproved private security issued by the REPF Fund I, a company started by Michael Mackay himself. Michael Richard Mackay is a former Financial Advisor at Transamerica Financial Advisors, Inc. in Cincinnati, OH…

Former First Financial Equity Corp. Broker, Stephen Whittaker, Terminated For Allegedly Selling Away

July 3, 2019

Stephen Whittaker was a Financial Advisor at First Financial Equity Corp. in Surprise, AZ.  Stephen Whittaker has been in the securities industry since 2003 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Whittaker was terminated by First Financial Equity Corp. in April 2019…

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Main Office - Fort Lauderdale

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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