Category: Misrepresentation

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

The Wolper Law Firm, P.A. is currently investigating claims against Ray Reece, a Financial Advisor at MONEY Concepts Capital Corp. in Farmington, MO. Ray Reece has been in the securities industry since the 1980s and previously worked at Prudential Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since […]

The Wolper Law Firm, P.A. is currently investigating claims against Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta, Georgia. Sean Kelly has been in the securities industry since 2000 and previously worked at Securities America. According to publicly available records released by the Financial Industry Regulatory Authority […]

The Wolper Law Firm, P.A. is currently investigating claims against Scott Kaup, a Financial Advisor at Summit Brokerage Services in Stuart, Nebraska. Scott Kaup has been in the securities industry since the 1980s and previously worked at VSR FInancial. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, […]

The Wolper Law Firm, P.A. is currently investigating claims against Steven Crawford, a former Financial Advisor at LPL Financial, now currently with Kestra Financial, in Glen Allen, Virgina. Steven Crawford has been in the securities industry since the 1980s and previously worked at Jefferson Pilot Securities. According to publicly available records released by the Financial […]

The Wolper Law Firm, P.A. is currently investigating claims against Thomas Logue, a former Financial Advisor at American Independent Securities Group in Hilldale, Illinois.  Thomas Logue has been in the securities industry since the 1990s and previously worked at Investors Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

The Wolper Law Firm, P.A. is currently investigating claims against Kenneth McDonald, a Financial Advisor at Western International Securities in Westlake Village, California.  Kenneth McDonald has been in the securities industry since the 1970s and previously worked at Newport Coast Securities, which has since been expelled from the industry by FINRA. According to publicly available […]

The Wolper Law Firm, P.A. is currently investigating claims against Joel Kamphuis, a Financial Advisor at Summit Brokerage Services in Fort Lauderdale, FL.  Joel Kamphuis has been in the securities industry since 1987 and previously worked at J.P. Turner & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

The Wolper Law Firm, P.A. is currently investigating claims against John Maloney, a Financial Advisor at Woodbury Financial Services in Morristown, New Jersey.  John Maloney has been in the securities industry since 1981 and previously worked at Edward Jones until 2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

The Wolper Law Firm, P.A. is currently investigating claims against James Flynn a/k/a Jim Flynn, a former Financial Advisor at Voya Financial Advisors and IFS Securities in Greenville, South Carolina.  James Flynn a/k/a Jim Flynn has been in the securities industry since the 1990s and previously worked at Capital Investment Group and Brookstone Securities. According […]