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Category: Unsuitability

Financial Advisor William Gennity (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against William Gennity, a Financial Advisor at First Standard Financial Co. in Staten Island, New York.  William Gennity first entered the securities industry in 2005 and previously worked for Alexander Capital, Legend Securities and National Securities Corporation. According to publicly available records released by the Financial […]

Financial Advisor Levert Caldwell (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Levert Caldwell, a Financial Advisor at First Standard Financial Co. in Red Bank, New Jersey.  Levert Caldwell first entered the securities industry in the 1990s and previously worked for National Securities Corp., Brookstone Securities, and Newbridge Securities. According to publicly available records released by the […]

Financial Advisor Rocco Roveccio (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Rocco Roveccio, a Financial Advisor at First Standard Financial Co. in Staten Island, New York.  Rocco Roveccio first entered the securities industry in the 1990s and previously worked for Brookstone Securities, Mercer Capital and Gunnallen Financial. According to publicly available records released by the Financial […]

Financial Advisor Thomas Beattie (Dakota Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Thomas Beattie, a Financial Advisor at Dakota Securities in Miami, FL.  Thomas Beattie first entered the securities industry in 1975 and previously worked at four brokerage firms that have since been barred by FINRA. According to publicly available records released by the Financial Industry Regulatory […]

What Are The Common Signs Of Investment Fraud, Negligence Or Other Misconduct?

Investment related misconduct comes in many forms.  It can be out in the open and flagrant but most often it is concealed and subtle.  The hallmark signs of investment misconduct are: Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets Your financial advisor is recommending […]

Can I Sue My Financial Advisor?

Often times, investors assume that because investments inherently carry a degree of risk, that you are precluded from seeking to recover investment losses.  This is incorrect.  While normal market fluctuations should be expected and are not actionable, they manner in which your portfolio is positioned IS actionable. The securities laws, both at the state and […]

Financial Advisor Stephen Williams (NEXT Financial Group, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Stephen Williams, a Financial Advisor at NEXT Financial Group, Inc. in Madison, Alabama.  Stephen Williams entered the securities industry in 2002 and previously worked for Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Williams has eight (8) […]

Financial Advisor Wills Henriquez (Network 1 Financial Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Wills Henriquez, a former Financial Advisor at Network 1 Financial Securities in Brooklyn, NY.  Among Wills Henriquez’s prior employers were Newport Coast Securities, Legend Securities and Emerald Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 21, 2018, […]

Financial Advisor Steven Pagartanis (Cadaret, Grant & Co., Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Steven Pagartanis, a former Financial Advisor at Cadaret, Grant & Co. and Lombard Securities in Seatauket, KY.  Steven Pagartanis has been in the securities industry since 1989 and has worked for several other brokerage firms, including Woodbury Financial Services, Invest Financial Corp. and Yankee Financial […]

Financial Advisor Lawrence Torres (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Lawrence Torres, a former Financial Advisor at First Standard Financial Company in Staten Island, NY.  Lawrence Torres’s past employments include Alexander Capital, LP, Brookstone Securities, Inc., JP Turner & Company and VFinanace Inestments. According to public records released by the Financial Industry Regulatory Authority (FINRA), […]