CMD Investigating Claims Against Berthel, Fisher & Company Financial Services, Inc. and Jeffrey Paul Dragon for Unsuitable UITs

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Berthel, Fisher & Company Financial Services, Inc. and Jeffrey Paul Dragon for recommending and effecting a pattern of unsuitable short-term trading of UITs (Unit Investment Trusts). FINRA has alleged that the short-term trading patterns were inconsistent with the design of the securities […]

CMD Investigating Claims Against CUSO Financial Services, L.P. for Recommending Unsuitable Unit Investment Trusts (UITs)

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against CUSO Financial Services, L.P. for recommending unsuitable Unit Investment Trusts (UITs) and for failure to supervise. As reported by FINRA, CUSO Financial Services, L.P. through a registered representative unsuitably solicited and sold to customers certain unit investment trusts (UITs) that invested in […]

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 […]

Complaints Against Securities America, Inc. (CRD# 10205)

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating complaints against broker-dealer Securities America, Inc., a a wholly owned subsidiary of Ladenburg Thalmann Financial Services, Inc. According to the Financial Industry Regulatory Authority (FINRA), Nebraska based brokerage firm Securities America, Inc. (CRD# 10205) has been the subject of at least 29 customer complaints and 46 […]

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 […]