Category Uncategorized
Former Liberty Partners Financial Services, Inc. And Securities America Financial Advisor Barred From Associating With Any FINRA Member Brokerage Firm
The Wolper Law Firm is currently investigating claims against former Liberty Partners Financial Services, Inc. Financial Advisor, Eric Erb, out of Babylon, NY. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Mark Kaplan was sanctioned by FINRA for allegedly engaging in sales practice violations, which included falsification of new account…
Merrill Lynch Financial Advisor, Craig Mardany, Subject To Customer Complaint Alleging Damages Of More Than $10 Million
The Wolper Law Firm is currently investigating claims against Merrill Lynch Financial Advisor, Craig Mardany, of Newport Beach, CA. Merrill Lynch Financial Advisor, Craig Mardany, out of Newport Beach, CA, is the subject of a customer complaint for unsuitable investment recommendations. The customer has alleged damages of $10 million. Financial Advisors are required by applicable…
Mark Kaplan, Former Financial Advisor At Vanderbilt Securities, LLC in Woodbury, NY, Barred From Associating With Any FINRA Brokerage Firm
The Wolper Law Firm is currently investigating claims against former Vanderbilt Securities, LLC Financial Advisor, Mark Kaplan, of Woodbury, NY. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective March 2018, Mark Kaplan was barred from associating with any FINRA member brokerage firm. Effectively, this means that Mark Kaplan is…
Leona Lynn Parsons Discharged From JP Morgan Chase Securities And Barred From Associating With Any FINRA Brokerage Firm
The Wolper Law Firm is currently investigating claims against former JP Morgan Chase Securities Financial Advisor, Leona Lynn Parsons, of Imperial Beach, CA. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective May 23, 2018, Leona Lynn Parsons was barred from associating with any FINRA member brokerage firm. Effectively, this…
