Robert Holland (CRD #: 1962105), a broker registered with Stifel, Nicolaus & Company, is involved in an investor dispute, according to his BrokerCheck record, accessed on January 29, 2021. If you are interested in Holland’s conduct as a broker, keep reading. On November 27, 2020, an investor alleged that Robert Holland engaged in negligence and…

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Roger Kliminski (CRD #: 722960), an investment adviser registered with Global Investment Solutions, is facing an investor allegation that he breached his fiduciary duty, according to his IAPD record, accessed on December 31, 2020. On November 5, 2020, an investor alleged that Kliminski breached his fiduciary duty by recommending an unsuitable investment for their risk…

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Grant Conness (CRD #: 4778193), an investment adviser registered with Global Wealth Management Invest Advisory, is involved in a client dispute regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on October 28, 2020. This is not the first allegation of an unsuitable investment — concerned investors should keep reading. On September 8, 2020,…

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Corbin Lambert (CRD #: 3191042), a broker registered with Securities America and an investment advisor registered with Continuum Financial, has been charged by the SEC with a “cherry-picking scheme,” according to his BrokerCheck record, accessed on October 14, 2020. Mr. Lambert was Continuum Financials’ CEO and has also served as the Chief Compliance Officer. The…

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Douglas Schmitz (CRD #: 1771132), a broker who is registered with Classic LLC, is facing several customer complaints, according to his BrokerCheck record, accessed on September 18, 2020. Mr. Schmitz is also a registered investment adviser with Classic Asset Management LLC. Investors should keep reading for more detail on Douglas Schmitz’s record as a broker.…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on July 28, 2016 indicate that New York-based National Securities broker Robert Rotunno has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rotunno (CRD# 4025263). Robert Rotunno has spent…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding energy investments made with California-based Wells Fargo Advisors broker/adviser Margo Fragnito (CRD# 2438311). Marco Fragnito has spent 22 years in the securities industry and has been registered with Wells Fargo Advisors in Laguna Hills, California since…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Morgan Stanley broker/adviser David Garcia Cirilo (CRD# 2281514). David Garcia Cirilo has spent 21 years in the securities industry and has been registered with Morgan Stanley in Coral Gable, Florida since 2014. Previous registrations include…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based PHX broker Sean Case (CRD# 3090136). Sean Case has spent seventeen years in the securities industry and has been registered with PHX Financial in Hauppage, New York since 2014. Previous registrations include JD Nicholas…

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