Scott Mass of David Lerner Associates has been subject to five customer complaints

According to BrokerCheck records financial advisor Scott Mass (Mass), currently employed by David Lerner Associates, Inc. (David Lerner) has been subject to five customer complaints.  According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mass’ customer complaints allege that Mass made unsuitable recommendations in a variety of investments including REITs, Puerto Rico bonds, […]

CMD Investigating Claims Against Mauricio Jaramillo and Ultralat Capital Markets, Inc. for Unsuitable Trading, Unsuitable use of Margin, Short-term Trading and for Failure to Supervise

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Mauricio Jaramillo and Ultralat Capital Markets, Inc. for unsuitable trading, unsuitable use of margin, short-term trading and for failure to supervise. As reported by FINRA, Mr. Jaramillo recommended unsuitable trades in at least three customer accounts, in that he recommended short-term trading in bonds, […]

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 Lawson Financial Corporation, Inc. and CEO Robert Lawson for Fraud

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against Lawson Financial Corporation, Inc., an Arizona based company, and its CEO Robert Lawson for fraud related to municipal bonds. FINRA has issued a formal complaint against Lawson Financial Corporation, Inc. (LFC), as well as Robert Lawson, the company’s CEO and President with self-dealing – […]