CMD Investigating Claims Against Legend Securities, Inc., Hank (Henry) Werner and Michael Stanton for Excessive Trading, Churning and Failure to Supervise

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Legend Securities, Inc., Henry Werner and Michael Stanton for excessive trading, churning and failure to supervise. FINRA has filed a complaint against Legend Securities, Inc., Michael Salvatore Stanton and Henry (Hank) Werner alleging that Mr. Werner churned and excessively traded each of a customer’s […]

CMD Investigating Claims Against Broker John Kakonikos for Churning, Excessive Trading, Unsuitable Recommendations and Unauthorized Trading

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against stock broker John Kakonikos for churning, excessive trading, unauthorized trading and unsuitable recommendations. According to Mr. Kakonikos’ FINRA BrokerCheck, he has been the subject of at least five (5) customer complaints while registered with Southeast Investments and Caldwell International Securities. According to FINRA, Mr. Kakonikos engaged […]

CMD Investigating Claims Against Stuart Graham Dickinson and WFG Investments, Inc. for Fraud, Failure to Supervise and Unsuitable Investments into Limited Partnerships

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Stuart Graham Dickinson and WFG Investments, Inc. for fraud, failure to supervise and unsuitable investments into limited partnerships.  According to Mr. Dickinson’s FINRA BrokerCheck, he has been the subject of at least two (2) customer complaints and two (2) regulatory investigations. According to […]

CMD Investigating Claims Against John E. Burns for Unsuitable Recommendation and Unauthorized Trading

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against stock broker John E. Burns for unsuitable recommendation and unauthorized trading.   According to Mr. Burns’ FINRA BrokerCheck, he has been the subject of at least six (6) customer complaints. According to FINRA, John Burns, while registered with SagePoint Financial and Ameriprise Financial, engaged […]

CMD Investigating Claims Against First American Securities, Inc. for Unsuitable Recommendations of Private Placements

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against First American Securities, Inc. for recommending unsuitable private placements, failure to supervise, inadequate due diligence, and investor offering documents (PPM) that contained misleading and unwarranted statements, omissions of material information and material misrepresentations. According to FINRA, First American Securities, Inc. was censured, fined $150,000, […]

CMD Investigating Claims Against Dougherty & Company LLC for Failure to Supervise, Unsuitability and Unauthorized Trading

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Dougherty & Company LLC for failure to supervise, unsuitability and unauthorized trading. According to FINRA, Dougherty & Company LLC was censured, fined $140,000 and required to pay $78,910 in restitution to a customer. According to FINRA, for more than four years, Dougherty & Company […]