CMD Investigating Claims Against Steven Douglas Ridley and International Assets Advisory, LLC for Unauthorized Trading and Failure to Supervise

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Steven Douglas Ridgley (CRD #4263203, Louisville, Kentucky) and International Assets Advisory, LLC for unauthorized trading and failure to supervise. In May, Steven Douglas Ridgley submitted an Acceptance, Waiver & Consent in which he was fined $10,000 and suspended from association with any FINRA member in […]

CMD Investigating Claims Against Broker Kelsey Marie Molyet and J.J.B. Hilliard, W.L. Lyons, LLC for Fraud

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Kelsey Marie Molyet (CRD #5695243, Indianapolis, Indiana) and J.J.B. Hilliard, W.L. Lyons, LLC, for fraud and failure to supervise. In May, Kelsey Marie Molyet submitted an Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any […]

FINRA Fines Oppenheimer Nearly $3,000,000 on Leveraged ETF Violations

  The Financial Industry Regulatory Authority (FINRA) said Wednesday that it has fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to affected customers for selling leveraged, inverse and inverse-leveraged exchange traded funds (ETFs) to retail customers without reasonable supervision, and for recommending these non-traditional ETFs […]

Carmel, Milazzo & DiChiara LLP Files Lawsuit Against Downing Partners, LLC, 3si Systems, LLC, Surgical Safety Solutions, LLC, David Wagner, Michael Shaut and Others Alleging an Employment and Investment Ponzi Scheme

New York, June 7, 2016 – The securities law firm of Carmel, Milazzo & DiChiara LLP announced today that it has filed a lawsuit against the venture capital firm of Downing Partners, LLC, Downing Investment Partners, LP, and its affiliated entities, including, Downing Heath Technologies, LLC, 3si Systems, LLC, Surgical Safety Solutions, LLC (collectively, “Downing”) and its principals […]