Feng Luo (CRD #: 5508192), a broker registered with Transamerica Financial Advisors, has a new investor dispute on her BrokerCheck record, accessed on January 8, 2020. On October 23, 2020, clients alleged that Feng Luo made misrepresentations and omitted facts during a sales presentation regarding unsuitable insurance products. The clients further alleged that Luo fraudulently…

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Brett Hartvigson (CRD #2263087), a broker registered with Independent Financial Group, is facing client allegations of over-concentration of alternative investments, according to his BrokerCheck record, accessed on December 14, 2020. There are several other disclosures on Mr. Hartvigson’s record that are described in further detail below. On September 17, 2020, a client alleged that Brett…

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William Foster (CRD#: 2096122), a registered representative with Ameriprise Financial Services, Inc. of Glendale, California, is currently involved in a customer dispute over a variable annuity, according to his BrokerCheck report accessed on October 24, 2019. In a complaint filed on September 23, 2019, a client “alleged his advisor misrepresented the returns he could expect…

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Leon Almeida (CRD#: 5645472), a registered representative with MML Investors Services, LLC in Paramus, New Jersey, is currently involved in a customer dispute. According to Leon Almeida’s BrokerCheck record accessed on September 24, 2019, a client alleges that Leon Almeida sold him a variable annuity but misrepresented it. The client, who filed the complaint on…

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Jim King Mui (CRD#: 1007131), a registered representative with Purshe Kaplan Sterling Investments in Boca Raton, Florida, has been involved in a recent dispute involving unsuitability, according to his BrokerCheck record accessed on August 23, 2019. His firm, Purshe Kaplan Sterling, recently settled a customer complaint in which a client alleged that their advisor “made…

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Rick Latta (CRD#: 1532421), a 33-year veteran of the securities industry whose experience spans seven firms, is involved in customer dispute regarding annuity allocations and allegations that his investment strategy is too conservative. He is currently registered with Kovack Securities Inc. of Weston, Florida, according to his BrokerCheck report accessed on July 31, 2019. On…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based International Assets Advisory broker/adviser Kevin Farrow has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Farrow (CRD# 4840279). Kevin…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Massachusetts-based Investors Capital broker Shaun Murphy is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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