CMD Investigating Claims Against Andrew S. Corbman and Newbridge Securities Corporation for Over-Concentration and Unsuitable Recommendations

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Andrew S. Corbman and Newbridge Securities Corporation for over-concentrating customer accounts and making unsuitable investment recommendations. Recently, Mr. Corbman submitted an Acceptance, Waiver and Consent (AWC) with FINRA, in which he was suspended from association with any FINRA member in any capacity for one month. […]

CMD Investigating Claims Against Ross Cammarata, the Ross Group and UBS for Unsuitable Recommendations and Unauthorized Trading

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Ross (Rosario) Cammarata, the Ross Group which is based in Florida, and UBS who may have recommended unsuitable investments and over-concentrated customer accounts in precious metals, such as gold, as well as various energy securities.  Further, Mr. Cammarata may have engaged in the unauthorized […]

FINRA Charges Broker David Randall Lockey of SWS Financial Services, Now Known As Hilltop Securities With Unsuitable Short-Term Trading

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against stockbroker David Randall Lockey, formerly registered with SWS Financial Services, now known as Hilltop Securities Independent Network Inc. On March 30, 2016, FINRA’s Department of Enforcement filed a complaint alleging that Mr. Lockey “engaged in unsuitable short-term trading and switching in” mutual funds and unit investment trusts […]