Raymond James Broker Clifford Vatter Allegedly Participated in Unauthorized Trading

According to records with the Financial Industry Regulatory Authority (FINRA), Raymond James broker Clifford Vatter allegedly made unsuitable investment recommendations, misrepresented and omitted material facts, breached fiduciary duty, made unauthorized withdrawals, and other things. These are all against securities laws and internal firm rules. A broker such as Mr. Vatter must take into account a…

Anthony Ferrara Has Complaints Regarding Variable Universal Life Policies

According to the Financial Industry Regulatory Authority (FINRA), Larson Financial Securities broker Anthony Ferrara has been subject to four customer complaints. He allegedly made unsuitable recommendations and material omissions in the sale of a variable universal life (VUL) policy that was purchased in 2013. The complaint is currently pending. Another complaint alleged that he recommended…

Stoltmann Law Offices Investigates Customer Complaints Against Jacquin Fink and Merrill Lynch

Merrill Lynch broker Jacquin Fink, has customer complaints against her. According to the complaints filed with the Financial Industry Regulatory Authority (FINRA), she has been accused of making unsuitable investment recommendations, misrepresentations, excessive trading, and unauthorized trading, among others. In April 2016, a customer alleged that unsuitable investment recommendations were made by Fink and that…

SCI Real Estate Investment TIC Losses

We are investigating the brokerage firms who sold and recommended SCI Real Estate Investment Tenants in Common (TICs). Brokerage-firms and financial advisors recommended SCI Real Estate Investment TICs we believe because of the massive fees and commissions involved in the products. Some brokerage firms and brokers, like Investors Capital and Don Ingram, sold the funds…

Newport Coast Securities Brokers Commit Churning Fraud

We are currently investigating New York based Newport Coast Securities brokers Douglas Leone, Marc Arena, Tyler Luckey, Andre LaBarbera, David Levy, Antonio Costanzo and Donald Bartelt. From approximately 2008 to 2013 these brokers allegedly committed churning fraud. They provided unsuitable investment recommendations involving inverse and/or leveraged ETFs , ETNs and Exchange Traded Products (ETPs). Many of…

Mark Sellers Suicide; How Does It Impact Selden Investors?

Yesterday, Mark Sellers allegedly committed suicide. We have written on the Selden Company’s investment scam in the past. http://stoltmannlaw.com/selden-companies-llc-recover-investment-losses/ This alleged suicide will have a very important impact on clients who are contemplating filing a Financial Industry Regulatory Authority (FINRA) arbitration claim or investment fraud lawsuit to recover Selden Company losses. We believe this suicide…