Articles Tagged with Customer Complaints

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Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more.

On June 18, 2020, a client alleged that Gregory O’Brien utilized unsuitable levels of margin. The client is seeking $153,300 in damages; the dispute is pending.

This is not the only disclosure in Gregory O’Brien’s BrokerCheck record.

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Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry Regulatory Authority (FINRA), according to his Investment Adviser Public Disclosure, accessed August 19, 2020. This was the latest on a substantial list of regulatory actions and customer disputes involving Sylvester Knox.

On August 6, 2020, Sylvester Knox entered into an Acceptance, Waiver and Consent agreement with FINRA in which he consented to the findings that he effected transactions with a total principal value of approximately $1.7 million in the accounts of customers of his member firm without the customers’ authorization or consent.

  • The findings further state that Sylvester Knox exercised discretionary trading authority and effected transactions with a total principal value of approximately $2 million in the accounts of customers without having obtained prior written authorization from the customers or approval from the firm to treat the accounts as discretionary.
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Dennis Mehringer Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 34 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; United Pacific Securities in Carlsbad, California; New England Securities in New York, New York; US Securities Clearing Corporation, which has since been expelled by FINRA, in San Diego, California; Guardian Investor Services Corporation; PML Securities; and NEL Equity Services Corporation. He is a registered broker and investment adviser with six US states and territories: California, Florida, Michigan, Montana, North Carolina, and Washington. Continue Reading

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Trevor WurtzebachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Illinois-based JP Morgan broker/adviser Trevor Wurtzebach has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wurtzebach (CRD# 5134519).

Trevor Wurtzebach has spent nine years in the securities industry and has been registered with JP Morgan in Wilmette, Illinois since April 2016. Previous registrations include JP Morgan Securities in Chicago, Illinois (2014-2016); Sigma Financial Corporation in Chicago, Illinois (2010-2013); and National Securities Corporation in Chicago, Illinois (2006-2010). He is a registered broker and investment adviser five US states and territories: California, Florida, Illinois, North Carolina, and Texas. Continue Reading

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Stephen BrownPublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Stephen Brown is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1799847).

Stephen Brown has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. Previous registrations include Merrill Lynch in Pittsford, New York and PaineWebber in Weehawken, New Jersey. He is a registered broker with 23 US states and territories. Continue Reading

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Arthur CarusoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Morgan Stanley broker/adviser Arthur Caruso has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caruso (CRD# 1816452).

Arthur Caruso has spent 28 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York; UBS Financial Services in New York, New York; Investors Center in Hauppauge, New York; and Blinder Robinson & Company. He is a registered broker and investment adviser with 28 US states and territories. Continue Reading

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Brian MaddoxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Illinois and Wisconsin-based Stifel Nicolaus & Company broker/adviser Brian Maddox  has been the subject of a customer complaint and a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maddox (CRD# 1062052).

Brian Maddox has spent 33 years in the securities industry and has been registered with Stifel Nicolaus & Company in Chicago, Illinois and Brookfield, Wisconsin since December 2015. Previous registrations include Barclays Capital in Chicago, Illinois (2011-2015); Morgan Stanley Smith Barney in Chicago, Illinois (2009-2011); Citigroup Global Markets in Chicago, Illinois (1986-2009); and Merrill Lynch (1982-1986). He is a registered broker and investment adviser with 31 US states and territories: Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, South Dakota, Tennessee, Texas, Virginia, Washington, and Wisconsin. Continue Reading

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Raymond ClarkPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Woodstock Financial Group broker Raymond Clark has received several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 2865619).

Raymond Clark has spent 19 years in the securities industry and has been registered with Woodstock Financial Group in Staten Island, New York since 2013. Previous registrations include Chelsea Financial Services in Staten Island, New York; JP Turner & Company in Tinton Falls, New Jersey; Grayson Financial, which has since been expelled by FINRA, in Red Bank, New Jersey; and MS Farrell & Company in Syosset, New York. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

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George FarleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Florida-based Wells Fargo Advisors broker/adviser George Farley, also known as Chip Farley, has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Farley (CRD# 5681576).

George Farley has spent six years in the securities industry and has been registered with Wells Fargo Advisors in Melbourne, Florida since 2014. Previous registrations include BB&T Investment Services in Melbourne, Florida (2012-2014) and Edward Jones in Winter Springs, Florida (2009-2012). He is a registered broker and investment adviser with 12 US states: Florida, Indiana, Kentucky, Maine, Maryland, Missouri, New York, North Carolina, Pennsylvania, Tennessee, Texas, and Wisconsin. Continue Reading

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Sean Agahi Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Independent Financial Group broker/adviser Sean Agahi has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Agahi (CRD# 2448745).

Sean Agahi has spent 22 years in the securities industry and has been registered with Independent Financial Group in Folsom, California since August 2015. Previous registrations include First Allied Securities in San Ramon, California; Geneos Wealth Management in San Ramon, California; Securities America in La Vista, Nebraska; and Oak Brook Securities in Oakbrook Terrace, Illinois. He is a registered broker and investment adviser with Arizona, California, Nevada, and Texas. Continue Reading

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