The Wolper Law Firm, P.A. is currently investigating claims against Brad Lawing, A former Financial Advisor at Cambridge Investment Research in Springfield, Missouri. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brad Lawing has been the subject of eleven (11) customer complaints since 2015.  This is an exceedingly high number […]

The Wolper Law Firm, P.A. is currently investigating claims against Alvery Bartlett, A Financial Advisor at Arete Wealth Management in Clayton, Missouri. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, two (2) customer complaints were filed against Alvery Bartlett.  The first customer complaint, filed in January 2018, alleges […]

The Wolper Law Firm, P.A. is currently investigating claims against Summit Brokerage Services Financial Advisor, Michael Mathias, based in Mt. Kisco, NY. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), as of June 2018, Michael Mathias has twenty (20) reported customer complaints on his BrokerCheck report.  Statistically, it is exceedingly […]

The Wolper Law Firm, P.A. is currently investigating claims against former First Allied Securities Financial Advisor, Sean Alan Brady, based in St. Louis. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2018, FINRA barred Sean Brady from associating as a Financial Advisor with any FINRA member firm.  The […]

The Wolper Law Firm, P.A. is currently investigating claims against James Kujawski, a former Financial Advisor at UBS Financial Services and current Financial Advisor at Ameriprise Financial Services.  James Kujawski is based in Annapolis, MD. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2018, James Kujawski was discharged […]

The Wolper Law Firm, P.A. is currently investigating claims against Foresters Equity Services Financial Advisor, Michael Rappa, based in San Diego. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2018, a customer complaint was filed against Michael Rappa regarding the sale of unsuitable securities.  Alleged damages are $700,000. […]

The Wolper Law Firm, P.A. is currently investigating claims against former Capital Financial Services, Inc. Washington based Financial Advisor, Lloyd Johnston. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2018, according to Lloyd Johnston was discharged from Capital Financial Services for failure to report certain items on his […]

The Wolper Law Firm, P.A. is currently investigating claims against former H. Beck Financial Advisor, Richard Poston, from Plano, TX. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2017, Richard Poston, was the subject of a customer complaint, alleging that he sold a customer illiquid, non-traded real estate […]

The Wolper Law Firm, P.A. is currently investigating claims against former Northwestern Mutual Investment Services Financial Advisor, Donnell Bowen, from Washington, D.C. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective June 2018, Donnell Bowen was barred from associating with any FINRA member brokerage firm.  This disciplinary action was prompted […]

The Wolper Law Firm, P.A. is currently investigating claims against former U.S. Bancorp Investments Financial Advisor, John Douglas Wade, from Fullerton, CA. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective June 2018, John Douglas Wade was barred from associating with any FINRA member brokerage firm.  Effectively, this means that […]