Iorio Altamirano LLP is investigating claims on behalf of Oppenheimer customers who invested in Unit Investment Trusts (UITs) at the firm through former Oppenheimer broker Frederick Levine and other financial advisors. If you have lost money with Oppenheimer or former Oppenheimer broker Frederick Levine contact New York securities arbitration lawyers…
Iorio Altamirano LLP is investigating claims on behalf of Stifel, Nicolaus & Company customers who invested in Unit Investment Trusts (UITs). If you have lost money with Stifel, Nicolaus & Company, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. Stifel…
Iorio Altamirano LLP is investigating claims on behalf of SagePoint Financial customers who invested in Unit Investment Trusts (UITs). If you have lost money with SagePoint, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. SagePoint and FINRA entered into a Letter…
FINRA has suspended financial advisor Jay Clint Tomlinson from the securities industry for three months and fined him $7,500. Mr. Tomlinson’s sanctions arise from his improper use of discretion without written authorization when placing 379 trades in three customers’ accounts. FINRA has also censured Tomlinson’s employer, New York financial services…
FINRA has suspended financial advisor Drew R. Mantel from the securities industry for three months and fined him $5,000. Drew Mantel was registered with Ameriprise Financial Services, LLC in Miamisburg, Ohio, from March 2018 until November 2018. At that time, Ameriprise terminated his employment. Previously, he was registered with Edward…
UBS broker Dario Suarez has twenty-three pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts…
Former UBS broker Robert Lapetina has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…
Former UBS broker Miguel Pascual has five pending customer complaints on his CRD, including two customer complaints filed in 2020, totaling over $3 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…
UBS broker Angel Canabal has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the accounts…
UBS broker Jose David Mendez has fifteen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $4 million in claimed losses. The claims allege that recommendations to invest in Puerto Rico municipal bonds and closed-end funds were unsuitable and led to overconcentration of the…