Michael Paesano Engaged in Excessive Trading, Clients Allege

Michael Paesano (CRD #: 1557229), a previously registered broker and an investment adviser registered with Axiom Investment Management LLC, is facing multiple pending allegations regarding excessive trading, according to his Investment Adviser Public Disclosure record, accessed on August 26, 2020. This is far from the only disclosure on Mr. Paesano’s record. On July 2, 2020,…

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Tony Lapia, Houston Broker, Involved in Dispute Over Trading Strategy

Tony Lapia (CRD#: 1560467), a registered representative with Wells Fargo Clearing Services, LLC (CRD#: 19616) in Houston, Texas, is currently involved in a pending customer dispute in which a client is seeking more than $100,000 in damages. A client is alleging that Tony Lapia’s trading strategy was unsuitable, according to his BrokerCheck record accessed on…

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Class Action: Tempur Sealy

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Tempur Sealy International (NYSE:TPX) in connection to alleged violations of securities laws by TPX. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Tempur Sealy International between July 28, 2016 and January…

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Kenneth Christman Has a Pending Customer Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 2, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Kenneth Christman is the subject of a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Christman (CRD# 4306483). Kenneth Christman has spent fifteen…

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Raymond James & Associates and Robert W. Baird & Company Settled Charges

According to publicly available records provided by the Securities and Exchange Commission (SEC), two investment advisory firms, Raymond James & Associates and Robert W. Baird & Company, have settled “charges related to compliance failures within their wrap fee programs.” An SEC release published on September 8, 2016 states that Raymond James & Associates and Robert…

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Christopher Bradford: Received One Customer Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that California-based KMS Financial Services broker/adviser Christopher Bradford has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bradford (CRD# 4572707).…

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Raymond Faby: Received Four Customer Complaints

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that Maryland-based Benjamin F. Edwards & Company broker/adviser Raymond Faby 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. Faby (CRD# 715572).…

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Chunyen Wang (Gene Wang) Received Customer Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that New Jersey-based Merrill Lynch broker/adviser Chunyen Wang, also known as Gene Wang, has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints…

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Ira Bauman Alleged To Be Participating in Excessive Trading

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that New York-based Raymond James broker/adviser Ira Bauman has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing form investors who have complaints regarding Mr. Bauman (CRD# 1079115).…

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John Thuma Received Resolved or Pending Customer Complaints

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that California-based Charles Schwab broker/adviser John Thuma has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thuma (CRD# 2340205). John Thuma…

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