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Coastal Equities Financial Advisor, Sam Aziz, Under FINRA Investigation For, Among Other Things, Alleged Suitability Violations And Excessive Trading

February 17, 2019

Sam Aziz is a former Financial Advisor at David Noyes & Co. and Coastal Equities, Inc. in Dublin, Ohio.  Sam Aziz has been in the securities industry since 1987 and previously worked at Wells Fargo and Stifel Nicolaus.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 24, 2018,…

Former Morgan Stanley Financial Advisor, James Mewhinny, Has Pending Customer Complaint Alleging Unsuitable Closed-End Fund Recommendations

February 9, 2019

James Mewhinny is a former Financial Advisor at Morgan Stanley in Dallas, Texas.  James Mewhinny has been in the securities industry since 1978 and worked at Morgan Stanley 2008. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2018, a customer filed a complaint against James Mewhinny, alleging “ATTORNEY…

Financial Advisor, Thomas Olexa, Has Pending Customer Complaint In Which The Customer Alleges Damages Of More Than $2 Million

February 3, 2019

The Wolper Law Firm is currently investigating claims against Thomas Olexa, a Financial Advisor at Valmark Securities in Shaumburg, Illinois.  Thomas Olexa has been in the securities industry since 1987 and previously worked for Woodbury Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 20, 2018, a…

Presidential Brokerage Finanical Advisor, Gregory J. Williams, Has Four Customer Complaints, Including Two Pending Complaints

January 27, 2019

The Wolper Law Firm is currently investigating claims against Gregory J. Williams, a Financial Advisor at Presidential Brokerage in Greenwood Village, Colorado.  Gregory J. Williams has been in the securities industry since 1986 and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Gregory J. Williams…

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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