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NY Life Securities Broker, Kari Bracy, Allegedly Recommended Future Income Payments (FIP) Investment To Customer

January 6, 2019

The Wolper Law Firm is currently investigating claims against Kari Bracy, a Financial Advisor at NY Life Securities in Jacksonville, FL.  Kari Bracy has been in the securities industry since 2009 and has worked at NY Life for the entirety of her career. According to publicly available records released by the Financial Industry Regulatory Authority…

INVESTOR UPDATE—Broker, Gary Pevey, Previously Discharged By Mutual Securities For Allegedly Selling Away, Has Been Suspended By FINRA For Twelve Months

January 6, 2019

The Wolper Law Firm is currently investigating claims against Gary Pevey, a former Financial Adviser at Mutual Securities in Sacramento, California.  Gary Pevey has been in the securities industry since the 1990s and previously worked at NFP Advisor Services.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 3,…

Financial Advisor, Elvis Parkes, Has Ten Customer Complaints, Including Two Pending Complaints

December 30, 2018

The Wolper Law Firm is currently investigating claims against Elvis Parkes, a Financial Advisor at Reid & Rudiger in New York, NY.  Elvis Parkes has been in the securities industry since the 1990s and previously worked at a number of small brokerage firms, including two that have been expelled from the industry by FINRA.    …

INVESTOR ALERT—Raymond James Discharged Another Financial Advisor, Sherry Baker, For “Concerns” Relating To The Sale Of Unit Investment Trusts?

December 23, 2018

The Wolper Law Firm is currently investigating claims against Raymond James’ sales practices with regard to Unit Investment Trusts (UITs) and, specifically, the sales practices of Raymond James Financial Advisor, Shery Baker.  Shery Baker has been in the securities industry since the 1980s and, since her termination, now works for Benjamin Edwards & Co.  According…

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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