Warning To Investors About Kestra Investment Services Broker Mitchell Walk

Stoltmann Law Offices is investigating Kestra Investment Services broker Mitchell Walk. According to his publicly available records with the Financial Industry Regulatory Authority (FINRA), Mitchell Walk has been subject to five customer complaints, two of which are currently pending. These allege that Walk misrepresented material facts about variable annuities in his investment recommendations to customers,…

Richard Fichter Has Customer Complaints

Stoltmann Law Offices is investigating Richard Fichter, a registered representative with Securities America in Williamsville, New York. Mr. Fichter allegedly acted negligently in connection to alleged improper sales practices employed by the account’s previous representative, made unsuitable recommendations and trades, failed to follow instructions, executed unauthorized trades, placed trades for the primary purpose of generating…

Recovery Options For Investors Who Lost Money in Securities Sold By Bruce Barber and Securities America

Bruce Page Barber, a former financial advisor with Securities America in Colorado Springs, Colorado, was barred from the securities industry. Barber allegedly solicited 15 firm customers to purchase an unapproved securities product in ABC, LLC, a company for which he served on the Board of Directors. Barber was terminated from Securities America in February 2017…

Jesus Rodriguez; IMS Securities; Miami, Florida

Stoltmann Law Offices is investigating Jesus Rodriguez, a broker with IMS Securities. Rodriguez is accused of acting negligently, misrepresenting material facts, and breaching fiduciary duty in connection to real estate investment trusts. These are all against securities rules and regulations. IMS Securities can be sued in the Financial Industry Regulatory Authority (FINRA) arbitration forum on…

Update For Investors: J. Randall Gladden Has License Revoked by State of Arizona

Stoltmann Law Offices continues to investigate J. Randall Gladden, a financial advisor in Aliso Viejo, California. The Financial Industry Regulatory Authority (FINRA) and the Arizona Corporation Commission alleged that Gladden sold $2.1 million worth of notes or “units” in the Church Development Fund, LLC and the Church Fund, LLC. Mr. Gladden managed and operated both.…