The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based LPL broker/adviser Jane Everingham, also known as Jane O’Malley. (CRD# 1727956). Jane O’Malley has spent 28 years in the securities industry and has been registered with LPL Financial in Larkspur, California since 1991. Previous registrations…

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According to the Financial Industry Regulatory Authority (FINRA), Alabama-based brokerage Sterne Agee Financial Services has signed a letter of Acceptance, Waiver, and Consent (AWC Letter) settling allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Sterne Agee Financial Services (CRD# 18456). Formed…

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Fitapelli Kurta is investigating customer complaints related to the sale of Exchange Traded Funds, or ETFs, by Investors Capital Corp.  Investors Capital Corp. is a member of the Financial Industry Regulatory Authority, or FINRA.  The firm is based in Lynnfield, MA and operated from approximately 325 branch offices nationwide. On March 7, 2014, Investors Capital…

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Fitapelli Kurta is investigating complaints against PNC Investments in connection with the sale of speculative ETFs and UITs.  The Financial Industry Regulatory Authority (“FINRA”) recently fined PNC Investments LLC $90,000.00 for complaints that PNC failed to apply an appropriate rollover or breakpoint discount to customers who purchased unit investment trusts (“UIT”).  According to FINRA, PNC also failed…

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