Alerts

Do you believe an investment broker mismanaged your money?

Public FINRA records indicate there are numerous brokers who face customer complaints and/or regulatory investigations. Currently Thomas Law Group is seeking to hear from Investors who had their accounts entrusted to Russell G. Cappelen Jr. (CRD# 1261781) at UBS Financial Services, Inc. According to FINRA broker check, Russell Cappelen may have ignored customer’s circumstances and …

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Brokers: problems with FINRA inquiry after leaving Fidelity Investments?

If you were a Fidelity Investments broker who was forced to resign due to the Acclaris/ WageWorks Computer Equipment Purchase Assistance Program or Fitness Reimbursement Program which resulted in a Form U5 disclosure – contact us today. You will receive or have already received an inquiry letter from FINRA regarding your participation in these Programs. …

Brokers: problems with FINRA inquiry after leaving Fidelity Investments? Read More »