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 […]