CMD Investigating Claims On Behalf of Investors Who Purchased Shares of United Development Funding IV (Symbol: UDF)

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims on behalf of investors who own or purchased shares of United Development Funding IV (Nasdaq: UDF). The Securities and Exchange Commission (SEC) has issued a Wells notice against UDF, an indication that SEC staff has made a preliminary determination to possibly recommend an […]

CMD Investigating Claims Against Richard Gomez for Unsuitable Recommendations and Failure to Supervise

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Richard Gomez and brokerage firms Woodstock Financial Group Inc. and Rockwell Global Capital, LLC for unsuitable recommendations and failure to supervise.  According to Mr. Gomez’s FINRA BrokerCheck, he has been the subject of at least three (3) customer complaints. In September 2016, Gomez was barred from […]

CMD Investigating Claims Against Lawrence Roberson and Capital City Securities, LLC for Misrepresentations and Fraud

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Lawrence Roberson and brokerage firm Capital City Securities, LLC for misrepresentations and omissions, fraud and failure to supervise.  According to Mr. Roberson’s FINRA BrokerCheck, he has been the subject of at least five (5) regulatory inquires. In September 2016, Roberson consented to the […]

CMD Investigating Claims Against Elliot Harris and Triad Advisors, Inc. for Unauthorized Trading and Unsuitable Recommendations

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Elliot Harris and brokerage firm Triad Advisors, Inc. for unsuitable recommendations, unauthorized trading and failure to supervise.  According to Mr. Harris’ FINRA BrokerCheck he has been the subject of at least five (5) customer complaints. In September 2016, Elliot Harris was barred from association with any FINRA […]

CMD Investigating Claims Against David Charles Cannata and Craig Scott Capital, LLC for Churning and Unsuitable Recommendations

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker David Charles Cannata and brokerage firm Craig Scott Capital, LLC for unsuitable recommendations, excessive trading (a/k/a churning) and failure to supervise.  According to Mr. Cannata’s FINRA BrokerCheck he has been the subject of at least eight (8) customer complaints. In September 2016, […]