Posts Tagged ‘Margin account’
Leo Galanti Embroiled in Investor Dispute Regarding Unsuitable Use of Margin
Leo Galanti (CRD #: 216583), a broker registered with Raymond James Financial Services, is facing an investor allegation over losses that total $1 million, according to his BrokerCheck record, accessed on December 7, 2020. More details about this dispute are provided below. On October 1, 2020, a client alleged that Leo Galanti made unsuitable use…
Read MoreJeffrey Kemp Involved in $1.1 Million Investor Dispute
Jeffrey Kemp (CRD #: 2263257), a broker registered with Janney Montgomery Scott LLC, has a pending investor complaint regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on September 22, 2020. On July 28, 2020, a client alleged that Jeffrey Kemp made unsuitable investment recommendations in high yield securities while utilizing the margin. Mr.…
Read MoreMichael Rulison Faces Allegations of Unauthorized Trading
Michael Rulison (CRD #: 407131), a broker registered with Morgan Stanley, is involved in a client dispute regarding unauthorized trading, according to his BrokerCheck record, accessed on September 21, 2020. In addition, multiple other clients have complained regarding Mr. Rulison’s handling of their accounts. On August 3, 2020, a client alleged that Michael Rulison executed…
Read MoreBroker Joel Benanti has Churning Compliant
The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based Laidlaw broker Joel Benanti (CRD# 4210681). Joel Benanti has spent fifteen years in the securities industry and has been registered with Laidlaw & Company in Melville, New York since 2012. Previous registrations include EKN Financial Services in Melville,…
Read MoreFitapelli Kurta files complaint against Mark Lisser and Global Arena Capital Corp.
Fitapelli Kurta recently filed a complaint against Global Arena Capital Corp. and Mark Lisser on behalf of an elderly and terminally ill Delaware pastor and his wife, who teaches bible classes at the local church. The claims stem from the misconduct of Mark Lisser, a Global Arena Capital Corp. stockbroker who worked at several different…
Read More