CMD Investigating Claims Against TradeSpot Markets Inc. and Mark Bedros Beloyan for Recommending Unsuitable Penny Stocks and Failure to Supervise

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Mark Bedros Beloyan (CRD# 1392748) and TradeSpot Markets Inc. for recommending unsuitable penny stocks and for failure to supervise. FINRA has alleged that TradeSpot Markets Inc.’s registered representatives recommended penny stocks and engaged in penny stock transactions without complying with the requirements enumerated under Section […]

CMD Investigating Claims Against Lance J. Ziesemer and Feltl & Company for Unsuitable Unit Investment Trusts (UITs) and Failure to Supervise

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Lance J. Ziesemer (CRD# 2342087) and Feltl & Company for recommending unsuitable UITs and for failure to supervise. In May, Lance J. Ziesemer submitted an Acceptance, Waiver & Consent (AWC) in which he was assessed a deferred fine of $7,500, suspended from association with any FINRA member […]

CMD Investigating Claims Against David Michael Miller and The Huntington Investment Company for Unsuitable Unit Investment Trusts (UITs) and Failure to Supervise

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker David Michael Miller (CRD# 5461431) and The Huntington Investment Company for recommending unsuitable Unit Investment Trusts (UITs) and for failure to supervise. In July, David Michael Miller was barred from association with any FINRA member in any capacity, required to pay a total of […]