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, […]

CMD Investigating Claims Over AlphaSector Strategy ETFs

Securities law firm Carmel, Milazzo & DiChiara LLP (“CMD”) is investigating 13 management firms over investments of client money into AlphaSector Exchange Traded Funds (“ETFs”).   The AlphaSector strategy was developed by F-Squared Investments which has since admitted in an enforcement case brought by the United States Securities and Exchange Commission (“SEC”) that its purportedly “real” past […]

CMD is Investigating Claims Against IMS Securities, Inc. and Jackie Wadsworth Over the Sale of Variable Annuities and Real Estate Securities

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against IMS Securities, Inc. and Jackie Wadsworth for unsuitable recommendations, over-concentration and failure to supervise. According to FINRA, Ms. Wadsworth faces allegations of negligence, over-concentration, breach of fiduciary duty, misrepresentations and failure to supervise.  The product types in the complaint are variable annuities and real […]

CMD is Investigating Claims Against Richard Martin and G.F. Investment Services, LLC for Recommending Unsuitable ETFs and Failure to Supervise

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Richard Martin and G.F. Investment Services, LLC for unsuitable recommendations and failure to supervise. In August 2016, FINRA filed a complaint against Richard Martin alleging that he solicited, purchased and recommended that his customers hold non-traditional Exchange Traded Funds (ETFs) in their accounts […]

CMD is Investigating Claims Against Glenn King and Buckman, Buckman & Reid, Inc. for Excessive Trading and Failure to Supervise

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Glenn King and brokerage firm Buckman, Buckman & Reid, Inc. for unsuitable recommendations, excessive trading (a/k/a churning) and failure to supervise. In August 2016, Glenn King was barred from association with any FINRA member.   The sanction was based on findings that Glenn […]

CMD is Investigating Claims Against Arthur Espinoza and Freedom Investors Corp. for Fraud

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Arthur Espinoza and Freedom Investors Corp. for fraud and failure to supervise. In August 2016, Arhtur Espinoza was barred from association with any FINRA member in any capacity.  The findings stated that Arthur Espinoza incorporated a company that he operated and obtained investors […]

CMD is Investigating Claims Against Ameriprise Financial Services, Inc. for Unsuitable Closed-End Funds (CEFs)

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against brokerage firm Ameriprise Financial Services, Inc. for recommending unsuitable closed-end funds (CEFs) and for failure to supervise. In August 2016, Ameriprise Financial Services, Inc. entered into an Acceptance, Waiver and Consent (AWC) with FINRA.  According to FINRA, Ameriprise Financial Services, Inc. failed to establish and maintain […]