Articles Posted in Broker Complaints

James SpringerThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Stifel Nicolaus broker/adviser James Springer (CRD# 2535792).

James Springer has spent twenty years in the securities industry and has been registered with Stifel Nicolaus & Company in Sarasota, Florida since 2014. Previous registrations include UBS Financial Services in Sarasota (2002-2014); Huntington Investment Company in Columbus, Ohio (1998-2002); NationsBanc Investments in Boston, Massachusetts (1998); Barnett Investments in Jackson, Florida (1997-1998); and First Union Brokerage Services in Charlotte, North Carolina (1994-1997). Mr. Springer is a broker and investment adviser registered in 21 US states and territories.

According to his BrokerCheck report, James Springer is the subject of sixteen customer complaints, two pending customer complaints, and was discharged from UBS Financial Services.

Calvin MooresIn 2015 a customer alleged Calvin Moores, while employed at Crowell, Weedon & Company, recommended unsuitable investments for a retired individual, ultimately causing substantial losses in her account. The customer additionally alleged that Mr. Moores concentrated her portfolio in speculative stocks. The claimant is seeking $374,585 in damages in the pending complaint.

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based IFG broker/adviser, Calvin Moores (CRD# 1009137).

Calvin Moores has spent 32 years in the securities industry and has been registered with Independent Financial Group in Irvine, California since 2014. Previous registrations include Centaurus Financial in Fullteron, California (2012-2014); Crowell, Weedon & Company in West Covina, California (1983-2012); and Freeman Financial Services Corporation (1983). Mr. Moores is a broker and investment adviser registered in ten US states.

Glenn Guthrie
According to the Financial Industry Regulatory Authority (FINRA), former Alabama-based Raymond James broker Glenn Guthrie is currently not licensed to act as a broker or otherwise associate with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Guthrie (CRD# 1517090).

Glenn Guthrie has spent 28 years in the securities industry and was most recently registered with Raymond James Financial Services in Birmingham, Alabama (2008-2015). Previous registrations include Wachovia Securities in Birmingham (2003-2008); Prudential Securities in New York, New York (2001-2003); UBS Painewebber in Weehawken, New Jersey (2000-2001); JC Bradford & Company in New York (1994-2000); Smith Barney in New York (1991-1994); and JC Bradford in New York (1986-1991).

According to his BrokerCheck report, Glenn Guthrie is the subject of one customer complaint and one employment separation after allegations.

IGI LaboratoriesThe securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding IGI Laboratories, Inc. (IG) offered by Maxim Group, LLC

IGI Laboratories, Inc. (IG) is a generic pharmaceutical company traded on the New York Stock Exchange (NYSE). In April 2015 IGI shares lost 30% of their value. Jason Grenfell-Gardner is the CEO of IGI Laboratories, Inc. (IG).

Maxim Group, LLC is a New York based independent broker-dealer firm registered with the SEC and FINRA. Maxim Group, LLC has offices in 53 U.S. states and territories. Maxim Group, LLC has 15 regulatory events disclosed on its BrokerCheck Report.

Four Points CapitalThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations against brokers and investment advisers registered with New York-based brokerage firm Four Points Capital (CRD# 43149).

Formed in Texas in 1997, Four Points Capital is headquartered in New York, New York and registered in 53 US states and territories. Michael Steven Avnett is Chief Compliance Officer; John Clarke Gray is Chief Financial Operations Officer; Michael Christopher Martino is Chief Executive Officer; Gene Ryan Murphy is Chief Operating Officer.

According to the firm’s BrokerCheck report, Four Points Capital itself is not the subject of any customer complaints. However, Chief Executive Officer Michael Martino is the subject of two customer complaints and one regulatory sanction.

Wunderlich SecuritiesThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the Tennessee-based brokerage and advisory firm Wunderlich Securities (CRD# 2543).

Formed in Tennessee in 1992, Wunderlich Securities is headquartered in Memphis, Tennessee and registered in 53 US states. Gary Kent Wunderlich is Chief Executive Officer; Philip Richard Zanone Stephen Joseph Bonema is Chief Operating Officer; Stacy Malinda Hodges is Chief Financial Officer; William David Woodward is Chief Compliance Officer.

According to the firm’s BrokerCheck report, Wunderlich Securities is the subject of fourteen regulatory sanctions and three customer complaints that evolved into arbitration.

St. Bernard Financial ServicesThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding the Arkansas-based brokerage and advisory firm St. Bernard Financial Services (CRD# 36956).

Formed in Arkansas in 1994, St. Bernard Financial Services is headquartered in Russellville, Arkansas and registered in twenty-two US states. Robert Keenan, Jr. serves as Chief Executive Officer and Chief Compliance Officer; Joseph Andrew Miles serves as Director of Retail Fixed Income.

According to its BrokerCheck report, St. Bernard Financial Services is the subject of four regulatory sanctions.

The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding CryoPort, Inc. (CYRX).

CryoPort, Inc. (CYRX) is an over the counter stock that provides frozen shipping logistics solutions to the biotechnology and life science industries” CryoPort, Inc. (CYRX)  sells to companies like stem cell manufacturers, bio-pharmaceutical companies, in-vitro fertilization companies, and other producers that require dry freeze to ship their goods.

CryoPort, Inc. (CYRX) President and CEO is Jerrell W. Shelton.  (CYRX) has been offered to investors through various broker-dealer firms, including Maxim Group, LLC.

Contact Information