Glenn Werner (CRD #: 6118112), a broker registered with David Lerner Associates, is involved in an investor dispute over $250,000, according to his BrokerCheck record, accessed on January 5, 2021. This is his 5th disclosure. On October 27, 2020, a client alleged that Werner had recommended unsuitable investments. The client further alleged that he misrepresented…

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Randy Birkinbine (CRD #: 2008599), a broker and investment adviser registered with Ausdal Financial Partners, is involved in a customer dispute regarding illiquid investments, according to his BrokerCheck record, accessed on October 28, 2020. This is only the latest disclosure — investors should be aware of additional investor disputes as well as his history of…

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Michael Rubel (CRD #: 4935564), a broker and investment adviser in Tennessee, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on October 28, 2020. Mr. Rubel is registered with B. Riley Wealth Management. Investors, take note: This suspension is not the only disclosure on Mr. Rubel’s record. …

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Tony Kassaei (CRD #: 4375259), an investment adviser registered with Equity Advisors, LLC, has been barred by FINRA, according to his BrokerCheck record, accessed on October 20, 2020. FINRA alleges that Mr. Kassaei violated Financial Industry Regulatory Authority (FINRA) Rule 3240, which requires brokers to get approval from their firms before engaging in outside securities…

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Mo McKinney (CRD #: 1036808), a broker registered with Concorde Investment Services LLC, is facing a pending customer dispute, according to his BrokerCheck record, accessed on September 16, 2020. Mr. McKinney is also an investment adviser with Concorde Asset Management LLC. There’s more to Mo McKinney’s broker record that investors should note. On August 31,…

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Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to Jonathan Greer’s departure from Arete Wealth Management? While Jonathan…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based Investors Capital broker/adviser Scott Aabel has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aabel (CRD# 1493667). Scott Aabel…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Tennessee-based Woodbury Financial Services broker David Ross is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based LPL Financial broker/adviser Robert Cenko is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

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/contact-us.Public available records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne, who has been permanently barred from associating with firms that sell securities to the public, is the subject of a pending customer complaint. The securities and investment fraud law firm…

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