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 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 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 Against Ridgeway & Conger, Inc., And Securities Brokers Kenley Brisard, Philip Brisard and Leigh McCobb Garber

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against Ridgeway & Conger, Inc., and securities brokers Kenley Brisard, Philip Brisard and Leigh McCobb Garber. FINRA’s Department of Enforcement filed a complaint alleging that Ridgeway & Conger, Inc., Kenley Brisard and Philip Brisard sold an unregistered security that consisted of interest-only strips from loans issued […]

CMD Investigating Claims Against Securities Broker Edward Beyn

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Edward Beyn, formerly registered with Craig Scott Capital and now with Rothschild Lieberman. On March 16, 2016, FINRA’s Department of Enforcement filed a complaint alleging that Mr. Beyn churned nine accounts of six customers, all over the age of 60, from March 2012 through […]