According to Advisor Hub, “Joseph Woitkoski, who was terminated by Raymond James Associates in 2018 after 20 years as a registered rep, was suspended for 30 days and fined $7,500 for allegedly making discretionary trades for 12 customers without their written authorizations, according to an acceptance, waiver and consent letter…
Miller Stern Lawyers, LLC – 410-Law-Firm is currently investigating allegations of fraud against Stephen Douglas Pizzuti in connection with an SEC settlement. According to the settlement posted on www.sec.gov “Pizzuti (CRD 1461660), age 58, is a resident of DeBary, Florida. At the time of the misconduct that led to his…
Miller Stern Lawyers, LLC 410- Law Firm is currently investigating claims against Financial Advisor Philip Rousseaux and Everest Wealth Management allegations of violations of various securities laws. According to the Daily Record, Investment adviser Philip Rousseaux is in another legal battle with his own lawyers this time, facing a lawsuit seeking…
According to Advisor Hub customer complaints and litigation against brokerages will be heating up with the market turmoil. Most of the industry will likely conclude that coronavirus pandemic fears and oil wars between Russia and Saudi Arabia are the cause of the market drop and are totally out of anyone one…
Miller Law Group – Miller Stern Lawyers, LLC is currently investigating allegations against Kenneth Blumberg and Stifel and has successfully litigated against Stifel, Nicolaus & Company, Incorporated and current financial advisor Kenneth Blumberg (CRD# 1585520) pertaining to a multitude of allegations including taking discretion in customer accounts without authority, over-concentration in sectors…
Miller Law Group – Miller Stern Lawyers, LLC successfully litigated against Stifel, Nicolaus & Company, Incorporated and current financial advisor Kenneth Blumberg (CRD# 1585520) pertaining to a multitude of allegations including taking discretion in customer accounts without authority, over-concentration in sectors and individual securities, breach of fiduciary duty, unsuitable investments and other…
Miller Stern Lawyers, LLC, a Maryland Securities and Broker Fraud Law Firm is currently investigating allegations by all clients of J.P. Morgan Securities and Advisor Antine Souma relating to failure to supervise, unsuitable trading and discretionary trading allegations. J.P. Morgan Securities has paid $14 million to settle a claim that,…